ADA Americans with Disabilities Act

CBRA Coastal Barrier Resources Act

CBRS Coastal Barrier Resources System

CEF Cost Estimating Format

CFR Code of Federal Regulations

DRM Disaster Recovery Manager

DSR Damage Survey Report

EMAC Emergency Management Assistance Compact

ER Emergency Relief Program

ESA Endangered Species Act

FEMA Federal Emergency Management Agency

FHWA Federal Highway Administration

GAR Governor’s Authorized Representative

HMGP Hazard Mitigation Grant Program

HUD Department of Housing and Urban Development

INF Immediate Needs Funding

NEPA National Environmental Policy Act

NFIP National Flood Insurance Program

NHPA National Historic Preservation Act

NOI Notice of Interest

OMB Office of Management and Budget

PA Public Assistance

PAC Public Assistance Coordinator

PAO Public Assistance Officer

PDA Preliminary Damage Assessment

PNP Private Nonprofit

PW Project Worksheet

Request Request for Public Assistance

SBA Small Business Administration

SFHA Special Flood Hazard Area

SHPO State Historic Preservation Officer

SMSD State Management of Small Disasters

TAC Technical Assistance Contractor

THPO Tribal Historic Preservation Officer

USACE U.S. Army Corps of Engineers

USFWS U.S. Fish and Wildlife Service

Acronyms

44 CFR ........................................................................1Administrative Allowance, Grantee .............................2Administrative Allowance, Subgrantee .......................3Alternate Projects .......................................................4Americans with Disabilities Act (ADA) ........................5Appeals .......................................................................6Applicants’ Briefing......................................................7Art ...............................................................................8Audits ..........................................................................9Beaches ....................................................................10Bridges ......................................................................11Building Inspection ....................................................12Buildings....................................................................13Case Management File .............................................14Categories of Work ...................................................15Coastal Barrier Resources Act (CBRA) ....................16Codes and Standards ...............................................17Community Centers ..................................................18Community Disaster Loans ......................................19Contracts ...................................................................20Cost Codes ...............................................................21Cost Estimate ...........................................................22Cost Estimating Format (CEF) .................................23Cost Overrun ............................................................24Cost Share ................................................................25Damage Survey Report (DSR) .................................26Davis-Bacon Act .......................................................27Debris Removal ........................................................28Debris Salvage ..........................................................29Declarations ..............................................................30Demolition .................................................................31Designated Disaster Area .........................................32Donated Resources ..................................................33Duplication of Benefits ..............................................34Educational Facilities ................................................35Eligibility ....................................................................36Eligible Applicants .....................................................37Eligible Costs ............................................................38Eligible Facility ...........................................................39Eligible Work .............................................................40EMAC ........................................................................41Emergency Protective Measures ..............................42Endangered Species Act (ESA) ...............................43Engineering and Design Services ............................44

Contents

Equipment .................................................................45Equipment Rates ......................................................46Erosion ......................................................................47Facilities under Construction ....................................48Federal-Aid Roads ....................................................49FEMA-State Agreement ............................................50Fire Management Assistance ...................................51Flood Control Works .................................................52Flood Insurance ........................................................53Floodplain Management ...........................................54Fringe Benefits ..........................................................55Geotechnical Study ...................................................56Grant Closure ...........................................................57Grant Management PW ............................................58Grantee .....................................................................59Hazard Mitigation, Section 404.................................60Hazard Mitigation, Section 406.................................61Homeless Shelters ....................................................62Homeowners’ Associations .......................................63Immediate Needs Funding (INF) ..............................64Immediate Threat ......................................................65Improved Projects .....................................................66Improved Property ....................................................67Inactive Facilities .......................................................68Incident Period ..........................................................69Indian Tribal Governments ........................................70Insurance ..................................................................71Irrigation Facilities .....................................................72Labor Costs ..............................................................73Landslides .................................................................74Large Projects ...........................................................75Legal Responsibility ..................................................76Libraries ....................................................................77Materials ...................................................................78Museums ..................................................................79Mutual Aid Agreement ..............................................80National Environmental Policy Act (NEPA) ...............81National Historic Preservation Act (NHPA) ...............82Negligence ................................................................83Notice of Interest (NOI) ............................................84Other Federal Agencies ............................................85Parks and Recreational Areas ..................................86Payment of Claims ....................................................87Permanent Work .......................................................88

Contents

Pre-Disaster Design ..................................................89Preliminary Damage Assessment (PDA) ..................90Private Nonprofit (PNP) Applicant ............................91Private Nonprofit (PNP) Facility ................................92Private Nonprofit (PNP) Facility—Critical Services ..93Private Property ........................................................94Programmatic Closure ..............................................95Project .......................................................................96Project Approval ........................................................97Project Worksheet (PW) ...........................................98Public Assistance Coordinator (PAC) .......................99Public Assistance Officer (PAO) .............................100Reasonable Cost ....................................................101Reassigned Employee ............................................102Rehabilitation Facility ..............................................103Relocation, Permanent ...........................................104Relocation, Temporary ............................................105Repair or Replacement ...........................................106Request for Public Assistance (Request) ...............107Roads ......................................................................108Scope of Work ........................................................109Seismic Safety ........................................................110Sequence of Events ................................................111Shelter Workshops ..................................................112Small Business Administration (SBA) .....................113Small Projects .........................................................114Snow Removal Assistance .....................................115Special Considerations ...........................................116Stafford Act .............................................................117State Administrative Plan ........................................118State Management of Small Disasters ...................119State Role ...............................................................120Subgrantee .............................................................121Tax Assessments ....................................................122Technical Assistance Contractors (TAC) .................123Temporary Employee ..............................................124Time Limits ..............................................................125Trees, Shrubs, and Other Ground Cover ................126Unstable Soil ...........................................................127Utilities ....................................................................128Validation.................................................................129Water Control Facilities ...........................................130Topic References ....................................................131Index .......................................................................139

Contents

1

The 44 CFR: Title 44 of the Code of FederalRegulations – Emergency Management andAssistance – contains rules, policies and

procedures that have been issued by FEMA in the formof regulations that are applicable to, among other things,the implementation and administration of federaldisaster assistance programs by FEMA. Most of theregulations applicable to FEMA’s disaster assistance programs are found inPart 206 of 44 CFR and those applicable to the Public Assistance (PA) Programare contained in Subparts G, H and I. The regulations set forth in Parts 9(Floodplain Management and Protection of the Wetlands), 10 (EnvironmentalConsiderations), 13 (“Common Rule” of Grant Administration), and 14 (Audits)of 44 CFR are also applicable to projects funded under the PA Program.

44 CFR

References: Public Assistance Guide, FEMA 322, page 8 and Appendix C

2

AdministrativeAllowance,

Grantee

The Stafford Act stipulates that each grantrecipient be provided an AdministrativeAllowance (Statutory Administrative Costs) to

meet the cost of administering the grant. The allowanceis calculated differently for grantees and subgranteesand covers different costs for each. The administrativeallowance for grantees covers overtime, per diem, and

travel (including local travel) expenses for State employees who participate inthe administration of public assistance grants. It does not cover regular timelabor costs and other costs directly associated with grants administration.Examples of administrative activities covered by the allowance include:

Conducting Applicants’ Briefings

Field inspections

Preparation of damage assessments and cost estimates

Working with Applicants

Project monitoring, final inspections, processing of appeals and audits

The allowance is calculated as a percentage of the Federal share of publicassistance funds actually awarded in the State for a given disaster (except forfunds provided in the State Management Project Worksheet). These fundsinclude the Federal share of all grants to both the State and local Applicantsand the administrative allowances for all the local Applicants in the State (seealso Administrative Allowance, Subgrantee). The percentage is calculatedusing a sliding scale, as follows:

The State does not need to submit any documentation to receive theiradministrative allowance. The funds are automatically calculated by FEMA’scomputer system when project applications are processed and forwarded to theState.

The State may also be eligible for additional grant management costs.

Total Amount of PA Program Funds

First $100,000Next $900,000

Next $4,000,000Funds in excess of $5,000,000

Allowance

3 percent2 percent of that $900,000

1 percent of that $4,000,000½ percent of the excess

References: Section 406(f)(1) of the Stafford Act44 CFR §206.228(a)(2)Public Assistance Guide, FEMA 322, pages 41-44

3

The Stafford Act stipulates that each grant recipientbe provided an Administrative Allowance(Statutory Administrative Costs) to meet the cost of

administering the grant. The administrative allowance forsubgrantees covers direct and indirect costs incurred inrequesting, obtaining, and administering publicassistance. Examples of the activities that the allowanceis intended to cover include:

Identifying damage

Attending the Applicants’ Briefing

Completing forms necessary to requestassistance

Establishing files and providing copies ofdocumentation

Assessing damage, collecting cost data and developing cost estimates

Working with the State during project monitoring and final inspection

Preparing for audits

The allowance is not intended to cover direct costs of managing specificprojects that are completed using public assistance funds. For example, thewages of a foreman on the site of a repair project would be a direct costassociated with that project. These costs are eligible as part of the grant foreach project, as long as they can be specifically identified and justified asnecessary for the work.

The allowance is calculated as a percentage of total eligible costs that areapproved for the subgrantee in a given disaster. This percentage is calculatedusing the same sliding scale used for the grantee’s administrative allowance(see also Administrative Allowance, Grantee).

The subgrantee is not required to submit documentation for its administrativeallowance. The funds are automatically calculated by FEMA’s computer systemwhen project applications are processed and forwarded to the State.

AdministrativeAllowance,Subgrantee

References: Section 406(f)(2) of the Stafford Act44 CFR §206.228(a)(2)Public Assistance Guide, FEMA 322, pages 41-43

4

Occasionally an Applicant may determine that thepublic welfare would not be best served byrestoring a damaged facility or its function to the

pre-disaster design. This usually occurs when theservice provided by the facility is no longer needed,although the facility was still in use at the time of thedisaster. Under these circumstances, the Applicant may

apply to FEMA to use the eligible funds for an Alternate Project.

Possible alternate projects include:

Repair or expansion of other public facilities

Construction of new public facilities

Purchase of capital equipment

Funding of hazard mitigationmeasures in the area affected bythe disaster

The alternate project option may be proposed for both small and large projects,but only for permanent restoration projects located within the declared disasterarea. All requests for alternate projects must be made within 12 months of theKickoff Meeting and approved by FEMA prior to construction.

Alternate projects are eligible for 75 percent of the approved Federal share ofthe estimated eligible costs associated with repairing the damaged facility to itspre-disaster design, or the actual costs of completing the alternate project,whichever is less. The share of the costs may be increased to 90 percent forpublicly owned facilities where unstable soils are present at the site of thedamaged facility (see Unstable Soil). This exception does not apply to PrivateNonprofit facilities.

The proposed alternate project may not be located in the regulatory floodwayand will have to be insured if located in the 100-year floodplain (see Insurance).Funding may not be used for operating costs or to meet the State or local sharerequirement on other public assistance projects or projects that utilize otherFederal grants. 406 Hazard Mitigation funds cannot be applied to an alternateproject (see Hazard Mitigation, Section 406). An environmental assessmentwill be performed for all alternate projects.

AlternateProjects

References: Section 406 (c)(1) of the Stafford Act44 CFR §206.203(d)(2)Public Assistance Guide, FEMA 322, pages 84-85

5

The Americans with Disabilities Act (ADA)applies to restoration of damaged facilities underthe Stafford Act. ADA requires that any building or

facility that is accessible to the public or any residenceor workplace containing disabled persons be accessibleto and useable by disabled persons.

When FEMA provides assistance for a newfacility constructed as a replacement facility, the facility must meet

applicable access requirements. FEMA will provide funds tocomply with ADA when replacing a facility, whether or not the

facility met compliance prior to the disaster. However, a newfacility funded as an alternate or improved project is limited tothe eligible funding for the original facility even when the new

facility has to comply with additional ADA requirements.

For buildings eligible for repair, FEMA will fund the full cost of ADA relevantrepairs to the damaged elements of the facility. In addition, FEMA may fundADA relevant repairs to non-damaged elements associated with a path of travelfor a primary function area that is damaged. A primary function area is where amajor activity occurs for which the facility is intended, such as the dining area ofa cafeteria. For primary function areas, FEMA will fund ADA relevant repairs forproviding an accessible travel path and service facilities up to 20 percent of thetotal cost of repair to the primary function area.

Non-damaged areas of a damaged facility are not required to meet ADArequirements unless they are part of the travel path or service facility to adamaged primary function area requiring ADA relevant repairs, as describedabove.

Applicants notified of an ADA violation prior to the disaster and required to bringthe facility into compliance are not eligible to receive FEMA funding to complywith accessibility requirements related to that violation.

AmericansWithDisabilitiesAct (ADA)

References: 44 CFR §206.226(b)36 CFR Part 119028 CFR Part 35American with Disabilities Act (ADA) Access Requirements,FEMA Policy 9525.5, dated October 26, 2000

6

The Appeals process is the opportunity forApplicants to request reconsideration of decisionsregarding the provision of assistance. There are

two levels of appeal. The first level appeal is to theRegional Director. The second level appeal is to theAssistant Director at FEMA Headquarters.

Typical appeals involve the following:

An entity is not an eligible Applicant

A facility, an item of work or a project is not eligible for disaster assistance

Approved costs are less than the Applicant believes is necessary tocomplete the work

A requested time extension was not granted

A portion of the cost claimed for the work is not eligible

The Applicant disagrees with the approved Scope of Work on the ProjectWorksheet

The Applicant incurs a Net Small Project Overrun

The Applicant must file an appeal with the Grantee within 60 days of receipt ofnotice of the action or decision being appealed.

Appeals

References: Section 423 of the Stafford Act44 CFR §206.206Public Assistance Guide, FEMA 322, pages 85-87

7

An Applicants’ Briefing is a meeting conducted bya representative of the State for all potentialApplicants for public assistance grants. The

briefing occurs after an emergency or major disasterhas been declared and addresses applicationprocedures, administrative requirements, funding, andprogram eligibility criteria.

The State representative is responsible for notifying each potential Applicant ofthe date, time, and location of the briefing. The size of the disaster area and thenumber of possible Applicants determine whether more than one briefing isheld.

FEMA personnel should participate in the briefing to clarify issues regarding:

Eligibility

Floodplain management

Insurance requirements

Environmental and historic preservation considerations

Federal procurement standards

Mitigation

To obtain the maximum benefit from the information presented at the briefing,each Applicant should send three representatives: an elected official, and onerepresentative each from the public works department and the accountingdepartment.

Representatives of potentially eligible Private Nonprofit Organizations shouldattend the briefing.

Applicants’Briefing

Reference: Public Assistance Guide, FEMA 322, page 64

8

Art or other culturally significant collections orobjects may be damaged or destroyed whenmuseums or other eligible facilities, either publicly

owned or owned by a Private Nonprofit, are involved indisasters. These collections and objects, by their verynature, generally are one-of-a-kind and thus cannot bereplaced. Therefore, replacement of destroyed

collections or objects is not an eligible cost.

FEMA may, however, fund stabilization measures. Stabilization involves takingthe minimum steps necessary to return a collection or object to a condition suchthat it can function in the same capacity as it did prior to the disaster. FEMA’sPreservation Officer (or designee), in consultation with the Applicant and theState, will use professional judgement to determine if additional treatmentbeyond stabilization is necessary to maintain the integrity of thecollection or object and return it to its pre-disasterfunction.

For example, a priceless sculpture in a publicmuseum falls from a shelf breaking intomany pieces. FEMA will not replace thesculpture but will pay to stabilize thesculpture for display purposes.

Art

References: Collections and Individual Objects, FEMA Policy9524.6, dated August 17, 1999Public Assistance Guide, FEMA 322, page 57

9

Public Assistance Program grant recipients (States,local governments, nonprofit organizations,universities, hospitals and Indian tribes) are

required to comply with the provisions set forth underthe Single Audit Act Amendments of 1996. The Actrequires grant recipients expending $300,000 or more inFederal funds in a fiscal year to perform a single audit.

Even though a single audit must be performed, grantrecipients also are subject to additional audits by theFEMA Office of Inspector General and State auditorsfor items not covered by the single audit. Specificdocumentation and procedures are based onthe requirements of the Federal Office ofManagement and Budget (OMB). The OMBrequires grant recipients to maintainfinancial and program records for threeyears following submittal of the finalexpenditure report.

Typically, Applicants will be informed of audit requirements during the Applicants’Briefing. Any questions after the briefing regarding the single audit, or audits ingeneral, should be directed to the appropriate State official or FEMA’s Office ofthe Inspector General in Washington, D.C.

Audits

References: Sections 318 and 705 of the Stafford Act44 CFR §14.1, §14.2, and §206.207(c)Office of Management and Budget Circular A-133Public Assistance Guide, FEMA 322, pages 117-118

10

Emergency placement of sand on natural orengineered Beaches may be eligible whennecessary to protect improved property from an

immediate threat. Protection may be to a 5-year stormprofile or to its pre-storm profile, whichever is less. A5-year storm is a relatively low level event.

A beach is considered eligible for permanent repair if itis an improved beach and has been routinely maintained prior to the disaster. Abeach is considered to be an “improved beach” ifthe following criteria apply:

The beach was constructed by the placementof sand to a designed elevation, width, grainsize, and slope

The beach has been maintained inaccordance with a maintenance programinvolving the periodic re-nourishment of sand

Typically, FEMA will request the following from anApplicant before approving assistance forpermanent restoration of a beach:

Design documents and specifications, including analysis of grain size

“As-built” plans

Documentation of regular maintenance or nourishment of the beach

Pre- and post-storm cross-sections of the beach

Permanent restoration of sand on natural beaches is not eligible.

Beaches

References: 44 CFR §206.226(h)Public Assistance Guide, FEMA 322, pages 59-60

11

Bridges are eligible for repair or replacement underthe Public Assistance Program, unless they areon a Federal-Aid Road (see Federal-Aid Roads).

Eligible work includes repairs to decking, guardrails,girders, pavement, abutments, piers, slope protection,and approaches. Only repairs of disaster-relateddamage are eligible. In some cases, FEMA may usepre-disaster bridge inspection reports to determine if damage to a bridge waspresent before the disaster.

Work to repair scour or erosion damage to the channel and stream banks iseligible if the repair is necessary to ensure the structural integrity of the bridge.Earthwork that is not related to the structural integrity of the bridge is not eligible(see Landslides). Similarly, work to remove debris, such as fallen trees, fromthe channel at the bridge is eligible if the debris could cause further damage tothe structure or if the blockage could cause flood waters to inundate nearbyhomes, businesses, or other facilities (see Debris Removal).

When replacement of a damaged bridge is warranted, eligible work may includeupgrades necessary to meet current standards for road and bridgeconstruction, as defined by the State or local highway department (see Codesand Standards). Typical standards affect lane width, loading design,construction materials, and hydraulic capacity. If code requires, and if theApplicant has consistently enforced that code, FEMA will permit changes in thebridge design from one lane to two lanes to include access modification for ashort distance (i.e., within area of damage). This does not apply to otherexpansions of capacity (e.g., from two lanes to four lanes).

Permanent restoration of a bridge that falls under the authority of the FederalHighway Administration is not eligible for public assistance (see Federal-AidRoads).

Bridges

References: Section 102(8) of the Stafford Act44 CFR §206.221(h) and §206.226(a) and (b)Public Assistance Guide, FEMA 322, pages 53-54

12

BuildingInspection

Under the Stafford Act, FEMA can consider theincreased demand for Building Inspectionservices as an eligible emergency protective

measure if such inspections are directly related to thedisaster and are necessary to establish if a damagedstructure poses an immediate threat to life, public healthor safety. Eligible costs for safety inspections are written

as “Category B” emergency work on the Project Worksheet.

The following inspections are ineligible for funding under the Public AssistanceProgram:

To determine if the building was substantially damaged beyond repairunder the National Flood Insurance Program regulations

To determine if the building should be elevated or relocated

To determine if the repairs are needed to make the building habitable

Generally, when building inspections of FEMA funded permanent repairs arerequired, they are included in the Project Worksheet funding for permanentrepair.

References: Section 403 of the Stafford ActEligibility of Building Inspections in a Post-Disaster Environment,FEMA Policy 9523.2, dated June 23, 1998Public Assistance Guide, FEMA 322, page 52

13

Buildings, including contents such as furnishingsand interior systems such as electrical work, areeligible for repair or replacement under the Public

Assistance Program. In addition to contents, FEMA willpay for the replacement of pre-disaster quantities ofconsumable supplies and inventory. FEMA will also payfor the replacement of library books and publications.Removal of mud, silt, or other accumulated debris is eligible,along with any cleaning and painting necessary torestore the building.

If an insurance policy applies to a facility, FEMA willdeduct from eligible costs the amount of insuranceproceeds, actual or anticipated, before providingfunds for restoration of the facility (see Insurance).FEMA will reduce public assistance grants by themaximum amount of insurance proceeds an Applicantwould receive for an insurable building located in anidentified floodplain that is not covered by Federalflood insurance. The reduction in eligible costs will bethe larger of the two reductions just described. The owners of insurablebuildings can expedite the grant process by providing FEMA with policy andsettlement information as soon as possible after a disaster occurs.

FEMA may pay for upgrades that are required by certain codes and standards(see Codes and Standards). Examples include roof bracing installed followinga hurricane, seismic upgrades to mitigate damage from earthquakes (seeSeismic Safety), and upgrades to meet standards regarding use by thedisabled (see Americans with Disabilities Act (ADA)). For repairs, upgradesare limited to damaged elements only. If a structure must be replaced, the newfacility must comply with all applicable codes and standards regardless of thelevel of FEMA funding.

If a damaged building must be replaced, FEMA has the authority to pay for abuilding with the same capacity as the original structure. However, if thestandard for space per occupant has changed since the original structure wasbuilt, FEMA may pay for an increase in size to comply with that standard whilemaintaining the same occupant capacity. A Federal or State agency or statutemust mandate the increase in space; it cannot be based only on designpractices for an industry or profession (see also Categories of Work).

Buildings

References: Section 102(8)(c) of the Stafford Act44 CFR §206.221(h) and §206.226American with Disabilities Act (ADA) Access Requirements,FEMA Policy 9525.5, dated October 26, 2000Seismic Safety – New Construction, FEMA Policy 9527.1, dated January 13, 2000Public Assistance Guide, FEMA 322, page 56

14

FEMA maintains a computer-based CaseManagement File that contains pertinentinformation about each Applicant. The Case

Management File promotes continuity in managing anApplicant’s recovery, minimizes redundant datacollection and allows quick access to the current status

of an Applicant’s case.

The Case Management File is first establishedwhen FEMA assigns a Public Assistance

Coordinator to an Applicant.

All Federal and State personnel workingwith the Applicant can view the Case

Management File.

CaseManagement

File

15

CategoriesOf Work

To facilitate the processing of Public AssistanceProgram grants, FEMA has divided disaster-related work into seven Categories of Work. These

categories are listed below and are described in moredetail elsewhere in this digest under the appropriatesubject.

Emergency WorkCategory A: Debris RemovalClearance of trees and woody debris; buildingwreckage; sand, mud, silt, and gravel; vehicles; andother disaster-related material deposited on publicand, in very limited cases, private property (seealso Debris Removal).

Category B: Emergency Protective MeasuresMeasures taken before, during, and after a disaster tosave lives, protect public health and safety, and protectimproved public and private property (see also EmergencyProtective Measures).

Permanent WorkCategory C: Roads and BridgesRepair of roads, bridges, and associated features, such as shoulders, ditches,culverts, lighting and signs ( see also Roads and Bridges).

Category D: Water Control FacilitiesRepair of irrigation systems, drainage channels, and pumping facilities. Repairof levees, dams, and flood control channels fall under Category D, but theeligibility of these facilities is restricted (see also Flood Control Works).

Category E: Buildings and EquipmentRepair or replacement of buildings, including their contents and systems; heavyequipment; and vehicles (see also Buildings and Equipment).

Category F: UtilitiesRepair of water treatment and delivery systems; power generation facilities anddistribution lines; and sewage collection and treatment facilities (see alsoUtilities).

Category G: Parks, Recreational Facilities, and Other ItemsRepair and restoration of parks, playgrounds, pools, cemeteries, and beaches.This category also is used for any work or facility that cannot be characterizedadequately by Categories A-F (see also Parks and Recreational Areas).

Reference: Public Assistance Guide, FEMA 322, pages 44-60

16

The Coastal Barrier Resources Act (CBRA)restricts Federal expenditures and financialassistance that encourage development of coastal

barriers so that damage to property, fish, wildlife, andother natural resources associated with the coastalbarrier is minimized. Coastal barriers are located alongthe Atlantic and Gulf coasts and along the Great Lakes.

They are identified on National Flood Insurance Rate Maps as Coastal BarrierResources System (CBRS) units.

Debris removal and emergency protective measures in designated CBRS unitsmay be eligible for public assistance provided the actions eliminate theimmediate threat to lives, public health and safety and protect improvedproperty. Advanced consultation with the U.S. Fish and Wildlife Service(USFWS) is not required before approval of emergency measures.

However, FEMA must consult with the USFWS to allow the USFWS theopportunity to provide written comments before permanent work funding isapproved. The following types of publicly owned facilities may be eligible forpermanent work funding:

Essential links in a larger system

Improvements to an existing channel

Repair of energy facilities that are functionally dependent on a coastallocation

Other existing roads, structures, or facilities that are consistent with thepurposes of CBRA

Certain Private Nonprofit facilities that meet the restrictions of CBRA and thePublic Assistance Program may be eligible for assistance. Examples includeelectric or gas utilities or educational facilities used for scientific research.

Improved projects that expand a facility are not eligible in CBRS units. Alternateprojects are also not eligible.

An existing facility is defined as a publicly owned or operated facility on whichthe start of construction took place on or before October 18, 1982. If a facilityhas been substantially improved or expanded since October 18, 1982, it is notan existing facility. If a unit was added to CBRS at a later date, that date may besubstituted for the October 18, 1982, date.

Coastal Barrier

ResourcesAct (CBRA)

References: Section 406(e) of the Stafford Act44 CFR Part 206, Subpart JPublic Assistance Guide, FEMA 322, pages 105-107

17

When a facility must be repaired or replaced,FEMA may pay for upgrades that arenecessary to meet specific requirements of

current Codes and Standards. This situation typicallyoccurs when older facilities, particularly buildings, mustbe repaired in accordance with codes that were adoptedafter the original construction.

For the cost of an upgrade to be eligible, the code or standard requiring theupgrade must:

Apply to the repair work being performed. If a facility must be replaced, anupgrade would apply throughout the facility. However, if a facility needsrepair work only, then upgrades would apply to the damaged elementsonly. For example, FEMA would pay to install a sprinkler systemthroughout a building if that building were being replaced, but would notpay for such a system if the only eligible repair work involved replacingflood-damaged walls and flooring on the ground level.

Be appropriate to the pre-disaster use of the facility.

Be reasonable, formally adopted, in writing, and implemented prior to thedisaster declaration date. The appropriate legislative authority within theapplicable jurisdiction must have taken all requisite actions to implementthe code or standard.

Apply uniformly to all facilities of the type being repaired within theapplicant’s jurisdiction. The standard cannot allow selective application; itcannot be subject to discretionary enforcement by public officials. Thestandard must be applied regardless of the source or availability offunding for the upgrade work.

Be enforced during the time that it was in effect. FEMA may requiredocumentation showing prior application of the standard if there wasopportunity to apply the code.

Some limited triggered code upgrades may be eligible upon evaluation byFEMA.

For additional information regarding standards, see Bridges, Americans WithDisabilities Act (ADA) and Seismic Safety.

Codes AndStandards

References: Section 406(e) and 409 of the Stafford Act44 CFR §206.221(i) and §206.226(b)Public Assistance Guide, FEMA 322, pages 27-28

18

A Private Nonprofit Community Center is a facilitythat is open to the general public withoutrestrictions, established and primarily used as a

gathering place for a variety of social, educationalenrichment, and community service activities. Eligibleactivities include:

1. Social – such as board meetings, senior citizenmeetings, or community picnics

2. Educational – such as seminars on personal finance, stamp collecting, orgardening

3. Community service – organizing clean-up projects, local governmentmeetings, rehabilitation programs, or blood drives

A community center facility includes the building, and associated structures andgrounds, which must be evaluated in their entirety to determine eligibility.

EXAMPLE: A community center complex consists of three buildings:two serve as community centers and one serves as an administrativebuilding. Therefore, only two buildings are eligible for public assistance,as the administrative building does not provide an eligible communitycenter activity.

Primarily used means that the facility is used over 50% of the time for eligiblecommunity center activities.

EXAMPLE: If a community center’s activities were for the followingpurposes: 20% vocational, 25% athletic, and 55% community oriented,the community center would be eligible for public assistance. In thecase of a facility built as a church, it will generally be ineligible even ifactual services are only held one or two days a week.

Assistance is in direct proportion to the percentage of space dedicated toeligible activities.

Facilities used for the following purposes are not eligiblecommunity centers and are not eligible for public assistance.

Political

Athletic

Religious

Recreational

CommunityCenters

Vocational

Academic training

Arts

Conferences

Publicly owned Community Centers generallyare eligible for public assistance.

References: 44 CFR §206.221(e)(6)Community Center Eligibility, FEMA Policy 9521.1,dated August 11, 1998Public Assistance Guide, FEMA 322, pages 14-15

19

Community Disaster Loans are available, subjectto Congressional funding, to any local governmentor other political subdivision of the State. The

jurisdiction must have suffered a substantial loss(generally in excess of 5 percent) of tax or otherrevenues as a result of a major disaster and mustdemonstrate the need for Federal assistanceto perform its governmental functions. Theamount of the loan shall not exceed 25percent of the annual operating budget ofthe locality for the fiscal year of the disaster,up to a maximum of $5,000,000. Loanproceeds must be used to maintain existinggovernmental functions or to expand suchfunctions to meet disaster-related needs.The loan cannot be used for capital improvements, the repair or restoration ofdamaged public facilities, or to pay the local cost-share of any Federal program.If the jurisdiction has not fully recovered economically from the disaster after 3fiscal years, all or part of the loan may be converted to a grant.

To apply for a Community Disaster Loan, the local government must submit aloan application through the State, provided the jurisdiction is not in arrears on apreviously approved loan. The State exercises administrative authority over thelocal government’s application and must certify that the local government islegally qualified, under State law, to assume the debt, and that the informationon the application is accurate.

CommunityDisasterLoans

References: Section 417 of the Stafford Act44 CFR Part 206 Subpart K

20

Contracts must be of reasonable cost, generallymust be competitively bid, and must comply withFederal, State, and local procurement standards.

FEMA finds four methods of procurement acceptable:

Small purchase procedures: an informal methodfor securing services or supplies that do not costmore than $100,000 by obtaining several pricequotes from different sources

Sealed bids: a formal method where bids are publicly advertised andsolicited, and the contract is awarded to the responsive bidder whoseproposal is the lowest in price (this method is the preferred method forprocuring construction)

Competitive proposals: a method similar to sealed bid procurement inwhich contracts are awarded on the basis of contractor qualificationsinstead of on price (this method is used for procuring architectural orengineering professional services)

Non-competitive proposals: a method whereby a proposal is receivedfrom only one source, because the item is available only from a singlesource; there is an emergency requirement that will not permit delay; orthe competition is inadequate to seek additional sources. If theseconditions exist, FEMA may find this method acceptable. Otherwise, non-competitive proposals generally are ineligible.

FEMA provides reimbursement for three types of Contracts:

Lump sum: contract for work within a prescribed boundary with a clearlydefined scope and a total price

Unit price: contract for work done on an item-by-item basis with costdetermined per unit

Cost plus fixed fee: either a lump sum or unit price contract with a fixedcontractor fee added into the price

Time and materials contracts should be avoided, but may be allowed for work that isnecessary immediately after the disaster has occurred when a clear scope of workcannot be developed. Generally, FEMA will accept time and materials contracts witha work duration of 70 hours immediately after a disaster. Applicants must carefullydocument contractor expenses, and a cost ceiling or “not to exceed” provision mustbe included in the contract. If a time and materials contract has been used, the Appli-cant should contact the State to ensure proper guidelines are followed. Cost plus apercentage of cost contracts and contingency contracts are not eligible.

Contracts

References: 44 CFR Part 13Office of Management and Budget Circular A-10241 U.S.C. 403(11)Public Assistance Debris Management Guide, FEMA 325, pages 27-34Public Assistance Debris Operations Job Aid, FEMA 9580.1, pages 34-38Public Assistance Guide, FEMA 322, pages 39-40, 75, 81

21

FEMA maintains a national unit price listin calledCost Codes that is updated and revised toconform with geographical and disaster-specific

needs. Appropriate cost codes are issued during eachdisaster. A sample of FEMA cost codes is shown below. Cost Codes

Cost codes are used for the unit cost method of estimating. This method,whereby each work component is priced separately, is generally used for workthat an Applicant has not yet completed. Typically, unit prices are based on in-place costs. This means that the price includes materials, labor, equipment,insurance, overhead, and profit, as appropriate. For example, a $14 per linearfoot unit price to replace concrete curb and gutter includes all costs for setting upand breaking down the forms and pouring and finishing the concrete.

In addition to cost codes, there are numerous other sources that may be used toprepare estimates based on unit costs. These sources include commercialestimating sources and State and local data from previously completed projects.

Reference: Public Assistance Guide, FEMA 322, pages 34 and 75

REG

00

00

00

00

00

00

STATE

00

00

00

00

00

00

CNTY

037

037

037

037

037

037

COSTCODE

NO.

3010

3011

3012

3013

3020

3030

DESCRIPTION

Aggregate Surface Course (Pit Run)

Aggregate Surface Course (Pit Run)

Aggregate Surface Course (Crushed)

Aggregate Surface Course (Crushed)

Fill (Unclassified)

Local Borrow

UNIT

TN

CY

TN

CY

CY

CY

UNITPRICE

7.50

10.00

10.00

13.50

10.00

3.00

22

When an Applicant requests public assistance fordisaster-related work, grant amounts arebased on actual costs if the work was

completed at the time of the request. However, for workthat has not been completed at the time of the request,a Cost Estimate must be used. Typically, theseestimates are prepared using unit costs. With this

method, the project is broken down into elements based on the quantities ofmaterial that must be used to complete the work. For example, a culvert repairmay be broken down into linear feet of pipe, cubic yards of fill, and square feetof pavement. The estimate for each of these items is a cost per unit thatincludes all labor, equipment, and material necessary to install that item(referred to as an “in-place” cost).

FEMA has developed a list of unit costs (see Cost Codes) for typical disasterrepairs that may be used for estimating total costs. Alternatively, unit cost datadeveloped by State or local governments may be used, if appropriate.Commercially available cost-estimating guides or data from local vendors andcontractors may also be used. It may be necessary for FEMA to review costdata not based on established cost codes before approving a grant.

For large or complex projects, it may benecessary for the Applicant to prepare adetailed design of the restoration work before aviable cost estimate can be developed. In suchcases, a grant for engineering and design services isapproved first (see Engineering and Design Services).Once the design is complete, a cost estimate for the work isprepared or actual bids for the work may be used as thebasis for the grant. Costs for managing a project may alsobe included if the project is sufficiently large or complex torequire them (see Large Projects). Most small projects donot require project management above the level of a first-level supervisor.

CostEstimate

References: 44 CFR §206.202(d)Public Assistance Guide, FEMA 322, pages 73-75

23

FEMA uses a cost estimating methodologycalled the Cost Estimating Format (CEF)to better estimate the total cost of large projects

(see Large Projects). The CEF is a forward-pricingmodel that allows FEMA to account for all possible costsassociated with a construction project. FEMA usesexperienced cost estimators and construction engineersto apply the CEF.

The CEF relies on the development of a clear definition of the scope of workthat is eligible for public assistance. Once this scope of work has beendeveloped, the CEF is applied in eight parts. Part A represents the base cost ofcompleting the project; it includes the labor, materials, and equipmentnecessary to complete each item of the scope of work. Parts Bthrough H contain job-specific factors that depend on themethods, complexity, and time of construction. Thesefactors are described below.

Part B includes construction costs not typically itemizedin Part A, such as the general contractor’s supervisioncosts.

Part C reflects construction cost contingenciesand is designed to address budgetary risksassociated with project complexity.

Part D accounts for the contractor’s overhead,insurance, bonds and profit.

Part E accounts for cost escalation over the life of theproject.

Part F includes fees for special reviews, plan checks and permits.

Part G is the applicant’s reserve for change orders and unforeseen conditions.

Part H accounts for the applicant’s cost to manage the design and constructionof the project.

CostEstimatingFormat (CEF)

24

Because of the nature of the Public AssistanceProgram, applicants may find that in mostinstances cost estimates are approved by FEMA

prior to the completion of the associated work. Often theactual costs incurred by the applicant duringperformance of the work exceed the approved estimate.This situation is known as a Cost Overrun. Cost

overruns are usually caused by one of the following:

Variations in unit pricing: The unit prices used in the cost estimate mayhave been lower than those the applicant was actually charged.

Change in the scope of work: While performing the work, the applicantmay find that additional eligible work or changes in the prescribed workare necessary.

Delay in starting or completion times: Problems beyond the applicant’scontrol may contribute to delays in starting or completing work.

The applicant should evaluate cost overruns on largeprojects. If the additional costs are justified, the applicantcan request additional funding. The applicant should contactthe State to ensure that proper guidelines for documentingany additional costs are followed. The State will forward

requests for additional funding to FEMA. Such requests mustcontain documentation to support that the additional costs wereincurred during the performance of eligible work.

Small projects are handled differently. Cost overruns are nothandled on a project-by-project basis; rather, the Applicant may

request supplemental funding for a net cost overrun on all small projects bysubmitting an appeal through the State to FEMA. An appeal should besubmitted only when the total costs for all small projects exceed the total costapproved for all small projects. The appeal must be submitted within 60 days ofthe completion of that Applicant’s last small project. The appeal must includedocumentation of actual costs correlated to each line item in the scopes ofwork. This includes projects with underruns as well as those with overruns. Anexplanation of all cost and quantity differences with the approved scopes ofwork should be included (see Appeals).

Cost Overrun

References: 44 CFR §206.204(e)Public Assistance Guide, FEMA 322, pages 83 and 116

25

Under the Public Assistance Program the Federalgovernment is responsible for supplementing theefforts and available resources of State and local

governments when the President declares a disaster oremergency. Because funding provided by the program issupplementary in nature, an appropriate sharing ofcosts between the Federal and State governments mustbe determined. This Cost Share is outlined in the FEMA-State Agreement.While the cost share is subject to change depending on the severity of adisaster, the minimum Federal cost share is 75 percent of eligible costs. TheState grantee and the subgrantee determine the distribution of the non-Federalshare. All Applicants, including Private Nonprofitorganizations, are subject to the cost shareoutlined in the FEMA-State Agreement.

Cost Share

References: Sections 403(b), 406(b), and 503(a) of the Stafford Act44CFR §206.65 and §206.203(b)Public Assistance Guide, FEMA 322, page 4

26

ADamage Survey Report (DSR) is a term usedprior to September 30, 1998, to indicate a step inthe assistance process during which a joint

Federal/State/local inspection team surveyed andrecorded damaged sites. The local representative wasresponsible for identifying the damaged sites andaccompanying the Federal/State inspection team to

each site. The inspection team was responsible foridentifying the eligible work and preparing a quantitativeestimate of the work necessary to complete repairs. The

inspection team would use measurements andsketches taken during the visual inspection

and information provided by the localrepresentative to determine the cost

estimate recorded on the DSR.

The DSR process wasreplaced by a more efficient and

responsive process on October 1, 1998 (seeProject Worksheet (PW)).

DamageSurvey

Report (DSR)

Reference: 44 CFR §206.202(d)

27

The Davis-Bacon Act requires Federal constructioncontractors to pay their workers the “prevailingwage” based on the local union wage scale defined

by the U.S. Department of Labor. Generally, theprovisions of the Davis-Bacon Act do not apply to Stateor local contracts for work completed using publicassistance funds under the Stafford Act. However,the provisions may apply to contracts let by otherFederal agencies, such as the U.S. Army Corps ofEngineers. If a State or local governmentincorporates prevailing wager rates of the U.S.Department of Labor as part of its normal practicefor all contracts, regardless of funding source, thenthose rates would be eligible.

Davis-BaconAct

References: 44 CFR §13.36(h)5Public Assistance Guide, FEMA 322, page 36

28

DebrisRemoval

Debris Removal is the clearance, removal, and/ordisposal of items such as trees, sand, gravel,building components, wreckage, vehicles, and

personal property. For debris removal to be eligible, thework must be necessary to:

Eliminate an immediate threat to lives, public healthand safety

Eliminate immediate threats of significant damage to improved public orprivate property

Ensure the economic recovery of the affected community to the benefit ofthe community-at-large

Mitigate the risk to life and property by removing substantially damagedstructures and associated appurtenances as needed to convert propertyacquired through a FEMA hazard mitigation program to uses compatiblewith open space, recreation, or wetlands management practices

Examples of eligible debris removal activities include:

Debris removal from a street or highway to allow thesafe passage of emergency vehicles

Debris removal from public property toeliminate health and safety hazards

Examples of ineligible debris removal activities include:

Removal of debris, such as tree limbs and trunks, from natural(unimproved) wilderness areas

Removal of pre-disaster sediment from engineered channels

Removal of debris from a natural channel unless the debris poses animmediate threat of flooding to improved property

Debris removal from private property is generally not eligible because it is theresponsibility of the individual property owner. If property owners move thedisaster-related debris to a public right-of-way, the local government may bereimbursed for curbside pickup and disposal for a limited period of time. If thedebris on private business and residential property is so widespread that publichealth, safety, or the economic recovery of the community is threatened, FEMAmay fund debris removal from private property, but it must be approved inadvance by FEMA.

See Demolition and Debris Salvage.

References: Sections 403 and 407 of the Stafford Act44 CFR §206.224Public Assistance Debris Management Guide, FEMA 325Public Assistance Debris Operations Job Aid, FEMA 9580.1Public Assistance Guide, FEMA 322, pages 45-47

29

DebrisSalvage

Debris resulting from disasters may have a marketvalue. Some of the materials that can be expectedto be marketable include timber debris, mulched

debris, and scrap metals, which should be segregated.Disposition of Debris Salvage must be at fair marketvalue and the value must be reimbursed to FEMA at theend of the project to reduce the total project cost.Reasonable costs for administering and marketing the sale of the salvageablematerials may be deducted by the Applicant from the fair market value. If anApplicant allows a contractor to take possession of salvageable material inorder to lower bid prices, there is no salvage value to be recouped at the end ofthe project.

See Debris Removal.

Reference: Disposition of Equipment, Supplies and Salvaged Materials,FEMA Policy 9525.12, dated August 29, 2000

30

There are two types of Declarations provided for inthe Stafford Act: Emergency Declarations andMajor Disaster Declarations. Both declaration types

authorize the President to provide Federal disasterassistance. However, the cause of the declaration andtype and amount of assistance differ.

An Emergency Declaration can be declared for anyoccasion or instance when the President determines Federal assistance isneeded. Emergency Declarations usually supplement State and local efforts inproviding emergency services, such as the protection of lives, property, publichealth, and safety, or to lessen or avert the threat of a catastrophe in any part ofthe United States. The amount of emergency assistance is capped at $5 millionper single event. If additional assistance is needed, the President must report toCongress.

The President can declare a Major Disaster Declaration for any natural event,including any hurricane, tornado, storm, high water, wind-driven water, tidalwave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm,or drought, or, regardless of cause, fire, flood, or explosion, that the Presidentbelieves has caused damage of such severity that it is beyond the combinedcapabilities of State and local governments to respond. A major disasterdeclaration provides a wide range of Federal assistance programs forindividuals and public infrastructure, including funds for both emergency andpermanent work.

Declarations

References: Sections 102(1) and (2) of the Stafford Act44 CFR §206.31-48Public Assistance Guide, FEMA 322, pages 2-3

31

Demolition of disaster-damaged structures may beeligible for emergency work assistance if the workis necessary to:

Eliminate an immediate threat to lives, publichealth and safety

Eliminate immediate threats of significant damageto improved public or private property

Ensure the economic recovery of the affected community to the benefit ofthe community-at-large

Mitigate the risk to life and property by removing substantially damagedstructures and associated appurtenances as needed to convert propertyacquired through a FEMA hazard mitigation program to uses compatiblewith open space, recreation, or wetlands management practices

Eligible activities include demolition of the facility superstructure, filling in ofopen below-grade structures (basements, swimming pools), and other activitiesincluding capping of wells and pumping and capping of septic tanks.

As with debris removal from private property, demolition of private structuresrequires approval by FEMA prior to start of work and agreement by the localgovernment to save and hold the Federal government free from damages dueto performance of the work. Demolition work also requires condemnation by anauthorized local official in accordance with State and local law.

Examples of ineligible demolition activities include:

Removal of slabs or foundations that do not present a health or safetyhazard (except for structures in a FEMA funded buyout program)

Removal or covering of pads and driveways (except for structures in aFEMA funded buyout program)

Demolition of structures condemned as safety hazards prior to thedisaster

Demolition of threatened but habitable (not yet damaged) structures

Demolition activities are eligible for permanent work assistance when the workis required in support of eligible repair, replacement, or reconstruction of aproject. Demolition of an abandoned facility associated with an approvedrelocation, improved, or alternate project may also be eligible.

References: Sections 403, 406, and 407 of the Stafford Act44 CFR §206.225 and §206.226Demolition of Private and Public Facilities,FEMA Policy 9523.4, dated November 9, 1999Public Assistance Guide, FEMA 322, page 49

Demolition

32

When a declaration of a major disaster oremergency is made for a State, FEMA willdesignate those counties of a State that are

eligible for assistance. Those counties make up theDesignated Disaster Area. Sometimes other politicalsubdivisions of a State, such as city or special district,

may be designated, but the countyis the most common designation.The designated disaster area canbe amended after the initialdesignation by FEMA. A damagedfacility must be located within adesignated county to be consideredfor Federal assistance. For example,Blue County is declared as adesignated disaster area and GreenCounty is not. All potentialApplicants within Blue County maybe eligible for public assistance. All

the facilities that are the legal responsibility of those Applicants may be eligiblealso, as long as the facilities are located within Blue County. If Applicant “A” hasfacilities in both Blue and Green County, the facilities in Blue County are eligibleand those in Green County are not.

The types of assistance available in the designated disaster area may varybetween counties. Some counties may be eligible for reimbursement for bothemergency and permanent work while others may be designated to receivefunding for emergency work only. Also, while a county may be eligible forIndividual Assistance, it may be found ineligible for public assistance. FEMAdetermines the designations based on the outcome of the Preliminary DamageAssessment and the recommendations of the State Governor and RegionalDirector.

DesignatedDisaster Area

References: 44 CFR §206.223Public Assistance Guide, FEMA 322, pages 24-25

33

DonatedResources

Donated Resources, which include volunteer labor,donated equipment and donated materials, areeligible to offset the State and local portion of the

cost share for emergency work (Categories A and B).The amount of credit that can be applied to a project iscapped at the non-Federal share so that the Federalshare will not exceed the Applicant’s actual out-of-pocket costs. Any excess credit can be applied to other emergency workprojects of the same Applicant.

Donated resources must apply to actual eligible emergency work, such asdebris removal or the filling and placing of sandbags. The donated servicesmust be documented and must include a record of hours worked, the work site,and a description of work.

Volunteer labor will be valued at the same hourly labor rate as someone in theApplicant’s organization performing similar work. If the Applicant does not haveemployees performing similar work, then the rate should be consistent withthose ordinarily performing the work in the same labor market.

The value for donated equipment should be determined by using the applicableFEMA equipment rate and multiplying it by the number ofhours the piece of equipment was used to perform eligibleemergency work.

Donated materials are valued at the currentcommercial rate. If the materials weredonated by a Federal agency, such assandbags donated by the U.S. Army Corps ofEngineers, the materials cannot be applied forvolunteer credit.

References: Section 403 of the Stafford Act44 CFR §13.24Office of Management and Budget Circular A-87Donated Resources, FEMA Policy 9525.2, dated August 17, 1999Public Assistance Guide, FEMA 322, pages 40-41

34

DuplicationOf Benefits

When providing assistance, FEMA must ensurethat a Duplication of Benefits does not occurbetween its own programs and insurance

recoveries and between its own programs andassistance provided by other Federal agencies (seeOther Federal Agencies). If an Applicant can obtainassistance for a project from another Federal agency,

then FEMA cannot provide funds for that project.

Grants and cash donations received from non-Federal sources designated forthe same purpose as public assistance funds are considered a duplication ofbenefits. However, these funds may be applied towards the non-Federal costshare. Grants and cash donations that are received for unspecified purposes orineligible work do not constitute a duplication of benefits.

A duplication of benefits most commonly occurs with insurance settlements. If adamaged facility is insured, FEMA is required to reduce the amount of the grantby any insurance proceeds that the Applicant anticipates or receives for theinsured facility, even if the Applicant has not completed negotiations with theinsurer. The Applicant is required to provide information concerning insurancerecoveries to FEMA, including copies of all applicable policies. FEMA will reviewthe insurance information and determine whether the settlement appearsproper in terms of the provisions of the policy (see Insurance). The retention ofduplicated funds is illegal, and duplicated Federal funds must be returned toFEMA.

References: Section 312 of the Stafford Act44 CFR §206.226(a)(1)Duplication of Benefits – Non-Government Funds,FEMA Policy 9525.3, dated October 30, 2000

35

EducationalFacilities

Educational Facilities are defined in terms ofprimary, secondary and higher education schools.For primary and secondary schools an education

institution is a day or residential school that providesprimary or secondary education as determined underState law. This generally means that the school satisfiesState requirements for compulsoryattendance. Institutions of highereducation are also eligible providedthat:

They admit as studentspersons having a high schooldiploma or equivalent

They are legally authorized toprovide education beyond asecondary level

They award a bachelor’sdegree or two-year degreethat is acceptable as full credit towards a bachelor’s degree

They are accredited by a nationally recognized agency or association

A higher educational institution is also defined as any school that provides notless than a one-year training program to prepare students for gainfulemployment in a recognized occupation and that meets the criteria set forth inthe first, second and fourth bullets above.

Eligible components of educational facilities include classrooms and relatedsupplies, equipment, machinery, and utilities of an educational institutionnecessary for instructional, administrative, and support purposes. Buildings orstructures and related items primarily used for religious purposes or instructionare not eligible.

References: Sections 102(8) and 102(9) of the Stafford Act44 CFR §206.221(a) and (e), and §206.226(a)(2)Public Assistance Guide, FEMA 322, pages 11-12

36

Eligibility

The Public Assistance Program is based onstatutes, regulations and policies. The statute, theRobert T. Stafford Disaster Relief and Emergency

Assistance Act (Stafford Act), is the underlyingdocument that authorizes the program. Regulationspublished in Title 44 of the Code of Federal Regulations(44 CFR) Part 206 implement and interpret the statute.

Policies are written to apply the statute and regulations to specific situations.These documents govern the Eligibility criteria through which FEMA providesfunds for public assistance. These criteria have the following four components:

The diagram above refers to the four building blocks of eligibility. The Applicant isthe basis for eligibility. The Applicant must be eligible for the facility to be eligible.The facility must be eligible for the work to be eligible. The work must be eligiblefor the cost to be eligible. Using these guidelines, FEMA determines if thevarious components are eligible for disaster assistance (see also EligibleApplicants, Eligible Costs, Eligible Facility and Eligible Work).

References: 44 CFR Part 206 Subpart HPublic Assistance Guide, FEMA 322, pages 7-60

37

EligibleApplicants

Four types of entities are Eligible Applicants forpublic assistance. If an entity meets the require-ments of one of the types, the Applicant may apply

for FEMA disaster assistance. The types of eligibleApplicants are:

1. State Government Agencies, such as:Department of TransportationEnvironmental Resources AgencyState Parks AgencyWater Quality Commission

2. Local Governments, including:Towns, Cities, CountiesMunicipalities, TownshipsLocal Public AuthoritiesCouncils of GovernmentsRegional and interstate government entitiesAgencies or instrumentalities of local governmentsSpecial districts or regional authorities organized under State lawRural or unincorporated communities represented by the State or apolitical subdivision of the StateSchool Districts

3. Private Nonprofit organizations or institutions that own or operate facilitiesthat are open to the general public and that provide certain services other-wise performed by a government agency. Eligible facilities are limited to:

EducationalEmergencyMedicalUtilitiesCustodial CareIrrigation Organizations (see Irrigation Facilities)Other essential governmental services not falling into one of thecategories described above, including community centers, homelessshelters, libraries, museums, rehabilitation centers, senior citizen centers,shelter workshops, zoos and health and safety service facilities

4. Federally recognized Indian Tribes or authorized tribal organizations andAlaskan Native village organizations. This does not include Alaska NativeCorporations, which are owned by private individuals.

All eligible Applicants, except Indian Tribal governments that have beendesignated as grantees, must submit their requests for assistance through theState.

References: See “Topic References”

38

EligibleCosts

Not all costs incurred by an eligible Applicant areeligible for public assistance funding. EligibleCosts are costs that:

1. Are reasonable and necessary to accomplish theeligible work (see Reasonable Cost)

2. Comply with Federal, State, and local requirements forprocurement

3. Do not include (or are reduced by)insurance proceeds, salvage values, andother credits

The eligible cost criteria apply to all directcosts, including salaries, wages, and fringebenefits, materials, equipment, and contractsawarded for eligible work.

In addition to these direct costs, anApplicant will receive an administrativeallowance (see Administrative Allowance, Subgrantee).

References: Sections 311, 312, and 406 of the Stafford Act44 CFR §206.228 and §206.250-253Office of Management and Budget Circulars A-21, A-87, and A-122Public Assistance Guide, FEMA 322, pages 33-35

39

EligibleFacility

With certain exceptions, an Eligible Facility is abuilding, works, system, or equipment that isbuilt or manufactured, or an improved and

maintained natural feature that is owned by an eligiblepublic or Private Nonprofit (PNP) Applicant. Land usedfor agricultural purposes is not a facility (see ImprovedProperty).

To be eligible for Public Assistance funding a facility must:

Be the responsibility of an eligible applicant

Be located in a designated disaster area

Not be under the specific authority of another Federal agency

Be in active use at the time of the disaster

Examples of eligible PublicFacilities include:

Roads (non-Federal aid)

Sewage Treatment Plants

Airports

Irrigation Channels

Schools

Buildings

Bridges and Culverts

Utilities

Eligible Private Non-Profit facilities include(see Private Nonprofit (PNP) Facility):

Educational facilities (classrooms,supplies, and equipment)

Utilities (gas, water, and powersystems)

Emergency facilities (fire stations andrescue squads)

Medical facilities (hospitals andoutpatient centers)

Custodial care facilities

Other essential government services(see Eligible Applicants)

If a facility is being used for purposes other than which it was originallydesigned, the eligible restoration is limited to the extent necessary to restore itsimmediate pre-disaster use. An example of such an alternate use facility is anoffice building being used as a storage facility at the time of the disaster. Thefacility is only eligible for repairs to restore it as a storage facility. Any speciallighting or wall and floor finishes that are typical of an office building would notbe necessary as a storage facility and are, therefore, not eligible.

All eligible PNP facilities must be open to the general public.

References: Sections 102(8) and (9) of the Stafford Act44 CFR §206.201(c), §206.221(e) and (h) and §206.226(i)(1)Public Assistance Guide, FEMA 322, pages 10-15 and 16-22

40

Eligible Work

In general, Eligible Work is based on the followingminimum criteria:

It must be required as a direct result of thedeclared event

It must be within the designated disaster area(see Designated Disaster Area)

It must be the legal responsibility of an eligibleApplicant at the time of the disaster (see LegalResponsibility)

For example, Brooks Run Culvert is located in Clarke County, which is adesignated disaster area. The eligible Applicant’s annual maintenance reportindicated that the culvert was half full of debris and sediment before thedisaster. Following the disaster, the Applicant requested that public assistancefunds be used to remove the obstruction fromthe culvert, which was full after thedisaster. This work has limitedeligibility because the disaster didnot cause the total obstruction.

There are two types of workeligible for the PublicAssistance Program. Thesetypes of work are:

1. Emergency Work

2. Permanent Work

References: 44 CFR §206.223(a)Public Assistance Guide, FEMA 322, pages 23-25

41

EMAC

The Emergency Management AssistanceCompact (EMAC) is a national compact amongmany of the states which provides form and

structure to interstate mutual aid. It establishesprocedures whereby a disaster-impacted state canrequest and receive assistance from other memberstates quickly andefficiently. EMAC resolvestwo key issues up front:liability andreimbursement. TheRequesting State agreesto (1) assume liability forout-of-state workersdeployed under EMAC and(2) reimburse AssistingStates (once proper, EMAC-specific, documentation is provided) forall deployment-related costs.

To the extent the specific agreement betweenstates meets the requirements of the FEMA policy on mutual aid, some of thecosts may be eligible for FEMA reimbursement (see Mutual Aid Agreement)and would be subject to the Federal/non-Federal cost share for that disaster.

Reference: Mutual Aid Agreements for Public Assistance,FEMA Policy 9523.6, dated August 17, 1999

42

EmergencyProtectiveMeasures

Emergency Protective Measures are actionstaken by Applicants before, during, and after adisaster to save lives, protect public health and

safety, and prevent damage to improved public andprivate property. Emergency communications,emergency access and emergency public transportationcosts may also be eligible.

Examples of eligible emergency protective measures are:

Warning devices (barricades, signs, andannouncements)

Search and rescue

Security forces (police and guards)

Construction of temporary levees

Provision of shelters or emergency care

Sandbagging

Bracing/shoring damaged structures

Provision of food, water, ice and other essential needs

Emergency repairs

Emergency demolition

Removal of health and safety hazards

References: Section 403 of the Stafford Act44 CFR §206.201(b) and §206.225Public Assistance Guide, FEMA 322, pages 47-52

43

EndangeredSpecies Act(ESA)

The Endangered Species Act (ESA) ensures thatFederal agencies consider the effects that theiractions may have on threatened and endangered

species. The law also requires that Federal agenciescoordinate with the U.S. Fish and Wildlife Service(USFWS) and the National Marine Fisheries Service toprevent or modify those projects that willjeopardize the continued existence of anythreatened or endangered species or that willresult in the destruction or adverse modification ofa designated critical habitat.

The law establishes a 3-step consultation processwith the USFWS, which FEMA uses as the basisof its internal procedures for compliance. Thisprocess must be completed before FEMA approves a grant for a project. Thecompliance procedure consists of:

An internal review of the project area to ascertain the presence of anyendangered species and determine if the project could affect them

A request for a Biological Assessment or Biological Evaluation by theUSFWS if the review indicates there are endangered species present

A formal consultation with the USFWS if the Biological Assessment orEvaluation indicates the action will “adversely affect”, “jeopardize”, or“modify” threatened or endangered species or their habitats

Compliance with the ESA is often accomplished during the NationalEnvironmental Policy Act (NEPA) compliance process; however, ESA and NEPAare distinct laws with individual regulations and requirements. Even if a project isexempted from compliance with NEPA, FEMA must comply with the ESA beforefunding can be provided for that project.

Applicants must afford FEMA the opportunity to satisfy these requirementsbefore proceeding with the actual work. Failure to do so may jeopardize FEMAfunding.

Reference: Public Assistance Guide, FEMA 322, pages 107-108

44

Engineering and Design Services necessary tocomplete eligible work are eligible for publicassistance. For estimating purposes, these

services generally fall into three categories.

Basic engineeringservices required tocomplete a project: theseservices are common to manyconstruction projects and include preliminary engineering analysis anddesign, final design, and construction inspection. For large projects, FEMAgenerally estimates the cost of these services when determining the grantamount for a project by using a percentage of the estimated project cost.

When complex facilities must be repaired or replaced, FEMA may firstprovide a grant using the estimate for basic engineering services basedon a scope of work so that the Applicant can retain an Architecture andEngineering firm to design the new facility. Once the facility is designed,FEMA can then develop the grant for construction using the design.

Special services: these services, which are not required on everyrestoration project, include land surveys, geotechnical and hydrologyinvestigations, resident engineering services, environmental studies, andfeasibility studies. These services must be specifically described and mustbe shown to be necessary for completing the eligible scope of work beforeFEMA can approve a grant for them.

Construction inspections: some projects do not require engineering anddesign but may require full-time construction inspection services becauseof unusual situations. For example, a project involving a pile-drivingoperation may have a specific inspection requirement. If a clear need forsuch services is evident when a project estimate is prepared, FEMA mayapprove a grant that does not exceed 3 percent of the estimatedconstruction cost.

Estimates for engineering and design services are typically not included in smallproject estimates (see Small Projects), except for complex projects or projectswhere specific services (such as a geotechnical analysis) are required.

Engineeringand Design

Services

Reference: Public Assistance Guide, FEMA 322, pages 75-80

45

All types of Equipment, including vehicles, may beeligible for repair or replacement when damagedas a result of the declared event. When damaged

equipment cannot be repaired, FEMA will approve thereplacement of the item with a similar item ofapproximately the same age, capacity and condition.Blue book prices may be used as an initial guide forvehicles damaged beyond repair. Replacement ofequipment with new equipment may be approved if aused item is not available within a reasonable time andcost. When applicable, salvage value of the damageditems and insurance should be deducted from theestimated replacement costs (see Categories ofWork).

Maintenance activities necessary due to the use ofequipment to perform emergency or permanent workare not eligible. The cost of maintenance is part of theequipment rate (see Equipment Rates). However, extraordinary maintenancesuch as brake replacement for equipment when salt water operation wasrequired, is eligible for reimbursement.

Additionally, when an Applicant does not have sufficient equipment or suppliesto respond effectively to the disaster, FEMA may assist in purchasing theneeded equipment and supplies. However, the Applicant may be required tocompensate FEMA for the fair market value of the cost of the equipment andsupplies when the items are no longer needed. The current fair market value isthe value of the equipment and supplies determined by selling them in acompetitive market. Alternatively, equipment leasing may be a reasonablealternative to purchasing new equipment. Leasing costs must be reasonableand total leasing costs cannot exceed the purchase price.

Equipment

References: 44 CFR §13.32 and §13.3344 CFR §206.226(f) and §206.228(a)(1)Office of Management and Budget Circulars A-21, A-87, A-110, and A-122Damage to Applicant-Owned Equipment, FEMA Policy 9525.8, dated August 17, 1999Disposition of Equipment, Supplies and Salvaged Materials,FEMA Policy 9525.12, dated August 29, 2000Public Assistance Guide, FEMA 322, pages 37 and 57

46

EquipmentRates

The costs for using Applicant-owned (force account)equipment while conducting eligible work may beclaimed on the basis of Equipment Rates. These

rates typically include operation, depreciation, fuel andmaintenance, but do not include operator labor. FEMArecognizes the rate of either FEMA, State or localequipment rates as follows:

FEMA rates: FEMA maintains a national schedule of equipment rates forthe operating costs associated with force account equipment.

State rates: Applicants that use equipment rates established under Stateguidelines in their normal day-to-day operations may use State rates forrates up to $75 per hour upon FEMA approval of the cost developmentmethodology. (Rates over $75 per hour may be approved by FEMA on acase-by-case basis.)

Local rates: For Applicants that use rates developed by a localgovernment in their normal day-to-day operations, reimbursement isbased either on the local rates or the FEMA national schedule, whicheveris lower. If the local rate is lower and the Applicant certifies that the localrate does not reflect actual costs, the FEMA rate may be used.

A sample of FEMA equipment rates is shown below.

Equipment rates are applied only to the time equipment is actually working.Standby time and idle time are not eligible.

FEMA’s schedule of equipment rates can be obtained from the State at theApplicants’ Briefing or from the FEMA website (www.fema.gov).

References: 44 CFR §206.228(a)www.fema.gov/r-n-r/paPublic Assistance Guide, FEMA 322, pages 37-38

REG

00

00

00

00

00

00

STATE

00

00

00

00

00

00

CNTY

000

000

000

000

000

000

COSTCODE

NO.

8680

8700

8710

8714

8715

8730

DESCRIPTION

Truck, Concrete, 8CY, 235 HP

Truck, Flatbed, 6,000 Lbs., 140 HP

Truck, Bucket, 30 Ft., 150 HP

Truck, Line, 150 HP

Truck Line, 210 HP

Truck, Garbage, 25 CY

UNIT

HR

HR

HR

HR

HR

HR

UNITPRICE

39.00

8.75

12.50

26.00

31.00

26.00

47

Erosion

Erosion is the washing away of soil and rocks alonga stream bank, at the bottom (toe) of a slope orfrom a hillside. The loss of material may damage

or threaten to damage improved property or facilities. Ifthe erosion causes an immediate threat, emergencyprotective measures may be eligible for publicassistance. If the eroded area is part ofan improved and maintained naturalfeature, such as an engineered channel,FEMA will fund the permanent restorationto pre-disaster design. (see EmergencyProtective Measures, ImmediateThreat, Bridges, and Landslides)

48

FacilitiesUnder

Construction

Typically, Facilities under Construction are theresponsibility of the contractor until the owner hasaccepted the work as complete. In the event of

damage to a facility under construction, FEMA mustdetermine if the Applicant is responsible for repairsbefore granting assistance. Repairs are eligible in thefollowing situations:

The contract under which the work is being performed placesresponsibility for damage on the Applicant during the construction period.

Prior to the disaster, the Applicant had accepted the work as completeand had, therefore, assumed responsibility. If the Applicant had acceptedresponsibility for a portion of the site,repairs to that portion of the site areeligible.

Repairs are not eligible if the work is theresponsibility of the contractor at the time ofthe disaster.

References: Section 406(e)(4) of the Stafford ActPublic Assistance Guide, FEMA 322, page 22

49

Federal-AidRoads

The Federal Highway Administration (FHWA)administers the Emergency Relief (ER) Program toassist State and local governments with the repair

of roads and bridges damaged during disasters. Fundsfrom this program are used for facilities that areFederal-Aid Roads. Federal-Aid Roads include allpublic roads functionally classified as other than local orrural minor collectors (about one-quarter of all public road mileage in thecountry).

The ER Program is the responsibility of the Secretary of Transportation and isactivated independently of major disaster declarations made by the President.Frequently, the ER Program is not activated when the President declares amajor disaster. ER funds are used for both emergency and permanent workand are granted on the basis of inspections performed by FHWA and Statehighway department personnel.

Because FHWA has the authority to provide assistance on Federal-Aid Roads,FEMA’s ability to provide Public Assistance (PA) Program assistance on theseroads is restricted, as described below.

Permanent Work: FEMA is prohibited from providing PA Program fundsfor the permanent repair of roads and bridges that are Federal-Aid Roads,even if the ER program is not activated. As a result, there may be timeswhen no Federal assistance is available for the permanent repair ofdisaster-damaged facilities on Federal-Aid Roads.

Emergency Work: FEMA may provide limited assistance for emergencywork, such as debris clearance, on Federal-Aid Roads if ER funds are notavailable for that work. This situation could occur if the ER Program is notactivated, or if a particular facility does not qualify for ER funding (e.g., asite below the FHWA dollar threshold).

To speed the processing of PA Program grants, local officials should be awareof roads in their communities that are considered Federal-Aid Roads.

References: Sections 102(8) and 312 of the Stafford Act44 CFR §206.221(h) and §206.226(a)Guide to the Federal-Aid Highway Emergency Relief Program, FHWA 95-021Public Assistance Guide, FEMA 322, pages 19-20 and 53-54

50

FEMA-StateAgreement

The FEMA-State Agreement is a document signedby the Governor of the State and the FEMARegional Director that states the understandings,

commitments, Federal cost share, and conditions underwhich Federal assistance will be provided. Theagreement identifies the incident and the incidentperiod, specifies the types of assistance

that will be provided, lists the areas eligible to receiveassistance, outlines the cost sharing provisions, andincludes other special terms and conditions thatmay apply.

51

FireManagementAssistance

Fire Management Assistance (previously knownas the Fire Suppression Program) is administeredon a real time active “incident fire” basis, under

which a State submits a request for assistance to theFEMA Regional Director at the time a “threat of a majordisaster” exists. The entire process is accomplished onan expedited basis (telephone/fax) and a FEMAdecision is rendered in a matter of hours. Fire Management Assistance doesnot require the declaration of a major disaster by the President.

Eligible costs include:

Field camps and meals

Use of publicly-owned equipment

Use of federally-owned equipment

Tools, materials, and supplies expended or lost

Safety items for firefighter health and safety

Mobilization and demobilization

Limited pre-positioning

Eligible activities are not limited to strictly firefighting activities, but may includethose activities associated with the firefighting effort.

Fire Management Assistance is available for the mitigation, management, andcontrol of any fire on public or private forestland or grasslands that threatenssuch destruction as would constitute a major disaster. Program assistance iscoordinated with State and Tribal foresters and emergency managers.

Reference: Section 420 of the Stafford Act

52

Flood ControlWorks

Flood Control Works are facilities constructed forthe purpose of eliminating or reducing the threat offlooding. Examples include:

Protective levees

Floodwalls

Flood control channels

Dams designed for flood control

Funds for the repair of flood control works are available through the U.S. ArmyCorps of Engineers’ (USACE’s) PL 84-99 program and the Natural ResourcesConservation Service’s Emergency Watershed Protection program. Becausethe repair of flood control works falls under the authority of other Federalagencies, FEMA cannot provide public assistance funds for the permanentrepair of flood control works. This restriction applies even if funding is notavailable from the other agencies.

FEMA may, however, provide funds for certain emergency measures involvingflood control works. These measures are described below.

Debris removal: removal of debris (for example, from a channel) iseligible if it is necessary to reduce an immediate threat of damage toimproved property.

Flood fighting: activities such as sandbagging, pumping behind a leveeto protect improved property, and increasing the height of a levee toprevent overtopping are eligible.

Emergency repair: emergency repairs, such as stabilizing a breach in alevee, are eligible if they are necessary to save lives, to protect publichealth and safety, or to lessen or eliminate the immediate threat ofadditional damage to improved property. Funding is limited to worknecessary to provide protection from a 5-year flood or to provide the pre-disaster level of protection, whichever is less.

If a facility is enrolled in the USACE’s PL 84-99 program, FEMA cannot provideassistance for emergency repairs to the facility because the USACE canprovide that assistance. If FEMA provides funds for emergency repairs for anon-enrolled facility, the Applicant must agree to enroll the subject facility in theUSACE program. FEMA will not provide assistance for emergency repairs tothat facility in a subsequent disaster, even if the Applicant fails to enroll thefacility in the USACE program.

References: Section 312 of the Stafford Act44 CFR §206.224, §206.225 and §206.226(a)Policy for Rehabilitation Assistance for Levees and Other Flood Control Works,FEMA Policy 9524.3, dated August 17, 1999Public Assistance Guide, FEMA 322, pages 18-19

53

FloodInsurance

A distinct reduction in disaster assistance is madefor facilities located in the 100-year floodplain,whether or not the Applicant has the facility

insured by a National Flood Insurance Program (NFIP)standard flood insurance policy. This reduction is themaximum amount of insurance proceeds the Applicantwould have received if the facility had been fully coveredby an NFIP standard flood insurance policy. It is made separately for buildingsand contents up to a maximum of $500,000 each.

The items that may be eligible for disaster assistance include:

Items not covered by a standard flood insurance policy, such as asbestosand lead-based paint abatement, depreciation, fences, non-buildingfacilities, and some items in a basement.

The cost of damages that are in excess of the maximum insurancecoverage available.

A FEMA flood insurance Specialist determines the amount of the reduction.This Specialist will evaluate the NFIP policy and the damaged facility andcontents to determine the maximum amount of insurance coverage available forthat facility. The Applicant also must obtain and maintain flood insurance for thefuture as a condition of receiving the Federal grant.

Notes:

If the insurance is not maintained, at the next disaster the facility willreceive no assistance.

If the estimate for the repair of disaster-related damage is less than$5,000, the insurance purchase requirement is waived.

The reduction is not taken if a Private Nonprofit (PNP) facility is located in acommunity that does not participate in the NFIP. However, the community mustjoin the NFIP within six months after the disaster and the PNP must purchasethe required insurance. If the community does not join, the PNP is not eligiblefor assistance (see also Insurance).

References: Sections 311, 312, and 406 of the Stafford Act44 CFR §206.250-253Retroactive Application of a Letter of Map Amendment (LOMA) or Letter of MapRevision (LOMR) to Infrastructure Grants, FEMA Policy 9530.1, dated August 8, 2000Public Assistance Guide, FEMA 322, pages 96-98

54

FloodplainManagement

The objectives of Floodplain Management are to:

Avoid, to the extent possible, the long- andshort-term adverse impacts associated withthe occupancy and modifications offloodplains

Limit direct and indirect floodplaindevelopment wherever there is a practicablealternative site

To accomplish these objectives, ExecutiveOrder 11988 requires Federal agencies toavoid the 100-year floodplain, unless thereis no practicable alternative, or to mitigatethe effect of potential flooding throughsuch measures as elevating structures.FEMA must determine if a project islocated in a Special Flood Hazard Area(SFHA) as designated on the NationalFlood Insurance Program (NFIP) maps.

The SFHA is the area in a community subject to a one percent chance offlooding (i.e., the 100-year floodplain). It includes the floodway and Coastal HighHazard Area. A Federal action in an identified SFHA must be the onlypracticable alternative.

Because many Public Assistance Program projects are located in floodplains,FEMA must monitor the approval of grants for compliance with theserequirements.

References: Section 406(e) of the Stafford Act44 CFR Part 9Executive Order 11988Public Assistance Guide, FEMA 322, pages 92-94 and 110

55

FringeBenefits

Eligible labor costs include actual wages paid plus apercentage of the actual wages that pays foremployee benefits. These benefits are referred to

as Fringe Benefits. Such benefits can include vacation,holiday, insurance, retirement, unemployment, socialsecurity, and worker’s compensation insurance. Thefringe benefit rates for regular and overtime aredifferent. Refer to Labor Costs for an explanation ofappropriate regulatory criteria and policy guidelines thatmust be followed when claiming costs associated withforce account labor.

References: Section 406(a)(2)(C) of the Stafford ActOffice of Management and Budget Circulars A-21, A-87, and A-122Public Assistance Guide, FEMA 322, page 37

56

GeotechnicalStudy

A Geotechnical Study, for the purposes of thePublic Assistance Program, is an engineeringstudy that analyzes the condition of a slope that,

by failing, will affect improved property or threaten publicsafety. A facility site without slope failure may alsorequire such a study. The FEMA Regional Director mayapprove such a study if the slope failure is disaster-

related. The primary purpose of a geotechnical study is to establish the causeand extent of the damages created by the declared disaster event, and topropose emergency protective measures.

For Emergency Work, limited investigations are eligible if a threat to lives, publichealth and safety, or improved property isapparent. The study must determine:

1. If an immediate threat exists; and

2. The types of temporary emergencyprotective measures that are needed toreduce or eliminate an immediate threat.

For Permanent Work, limited investigations areeligible if public assistance funds will be used torestore a facility that is located on the slope. Thestudy must identify the location and extent of theunstable ground in relation to an improvedproperty and the cause of the instability (includingany pre-existing conditions that would contributeto a landslide). If the slide is determined to beexclusively disaster related, the study must recommend cost-effectivestabilization projects (see Landslides and Unstable Soil).

References: Landslide Policy Relating to Public Facilities,FEMA Policy 9524.2, dated August 17, 1999Public Assistance Guide, FEMA 322, pages 54-55

57

GrantClosure

GGGGGrant Closure occurs when FEMA determines thatall applicable administrative actions related to thePublic Assistance (PA) Program are complete and

all program funds have been reconciled. At this stage,all PA Program projects have been completed, the Statehas awarded all grant funds and submitted its finalexpenditure report to FEMA, and FEMA has adjustedthe funding level for the program as appropriate.Once grant closure occurs, no additional actionsrelated to the program may occur. FEMA mayconduct an audit of the program during or aftergrant closure.

References: 44 CFR §13.50(a)Office of Management and Budget Circular A-110Public Assistance Guide, FEMA 322, page 87

58

The grantee is allowed administrative costs knownas State Management Administrative Costs inaddition to the Statutory Administrative Costs (see

Administrative Allowance, Grantee) for managing thePublic Assistance (PA) Program. These documentedeligible costs are paid through a Grant ManagementProject Worksheet (PW). The PW is processed using

the Standard Project Number 852 and classified as Category Z.

Eligible costs include:

Regular time salaries and benefits incurred by State employees forpreparation or conduct of:

PWs

Final inspection reports

Project applications

Audits

Records

Claims

Project monitoring

Ensuring subgrantee compliance with laws, regulations, etc.

Supplies, material, equipment and office space necessary to manage thedisaster

Other related field expenses

Conduct of Applicant briefings

Eligible costs do not include overtime, per diem and travel costs of Stateemployees performing the above tasks

To be eligible, costs must be directly related to the management andadministration of the PA Program and must not include management andadministrative staff costs or other costs involved in the delivery of other disasterprograms and overall disaster recovery operations.

The grantee does not receive the normal automatically calculated grantee’sStatutory Administrative Costs for this PW.

All grant management costs must be in conformance with the approved StateAdministrative Plan for Public Assistance and the associated staffing plan.

References: 44 CFR Part 1344 CFR §206.228(a)(3)Office of Management and Budget Circular A-87Public Assistance Guide, FEMA 322, page 44

GrantManagement

PW

59

Grantee

The Grantee is the State government, and in someinstances, an Indian tribe, to which the grant isawarded (see Indian Tribal Governments). The

grantee is accountable for the use of the funds providedby FEMA and is responsible for disbursing those fundsto the subgrantee (Applicant). The grantee is alsoresponsible for providing technical advice andassistance to eligible Applicants, ensuring that all potentialApplicants are aware of the available assistance programs,providing support for damage assessment operations, andsubmitting the necessary paperwork for grant awards. SeeState Administrative Plan for more information.

Reference: 44 CFR §206.201(e) and §206.202(b)

60

HazardMitigation,Section 404

Hazard Mitigation is any sustained action taken toreduce or eliminate long-term risk to people andproperty from natural hazards and their effects.

One type of hazard funding provided for in the StaffordAct, Section 404, is the Hazard Mitigation Grant

Program (HMGP). HMGP funding is availableafter disasters, but is not under the jurisdiction ofthe Public Assistance Program. Program grantfunds available under Section 404 of theStafford Act provide states with the incentiveand capability to implement mitigationmeasures that previously may have beeninfeasible. The main purpose of the HMGP isto ensure that the opportunity to take criticalmitigation measures to protect life and

property from future disasters is not lost during therecovery and reconstruction process following a disaster.

The State is responsible for soliciting applications from eligible Applicants.Eligible Applicants include State and local governments, certain privatenonprofit organizations, and Native American tribes and Alaskan NativeVillages. Projects submitted to the State must be in keeping with the State’shazard mitigation plan, address severe detrimental impacts, and have thegreatest potential to reduce future losses. Eligible projects include acquisition ofhazard-prone property, retrofitting existing buildings and facilities, elevation offloodprone structures, and infrastructure protection measures.

Applicants who have questions regarding the Hazard Mitigation Grant Programshould contact the Public Assistance Coordinator, Disaster Field Office staff, orthe State Hazard Mitigation Officer.

References: Section 404 of the Stafford ActHazard Mitigation Grant Program Desk Reference, FEMA 345Public Assistance Guide, FEMA 322, pages 98-99

61

HazardMitigation,Section 406

Hazard Mitigation, Section 406, is a fundingsource for cost-effective measures that wouldreduce or eliminate the threat of future damage to

a facility damaged during the disaster. The measuresmust apply only to the damaged elements of a facilityrather than to other, undamaged parts of the facility orto the entire system. For example, if flooding inundatesa sanitary sewer and blocks the manholes withsediment, mitigation to prevent the blockageof the damaged manholes in a future eventmay be considered eligible. However, workto improve undamaged manholes using thesame method would not be eligible, eventhough the manholes are part of the samesystem.

Hazard mitigation measures restore a facility beyond its pre-disaster design.Section 406 mitigation measures are considered part of the total eligible cost ofrepair, restoration, reconstruction, or replacement of a facility. They are limited tomeasures of permanent work, and the Applicant may not apply mitigationfunding to alternate projects or improved projects if a new replacement facility isinvolved. Upgrades required to meet applicable codes and standards are not“mitigation measures” because these measures are part of eligible restorationwork.

References: Section 406(e) of the Stafford Act44 CFR §206.201(f) and §206.226(c)Hazard Mitigation Funding Under Section 406 (Stafford Act),FEMA Policy 9526.1, dated August 13, 1998Public Assistance Guide, FEMA 322, pages 98-101

62

HomelessShelters

Homeless Shelters may be eligible for grants ifthey are public or Private Nonprofit facilities andhave the primary purpose of providing shelter to

homeless people. Services include food, water, shelter,and clothing. FEMA funding is available to thoseshelters that are open to the general public and operatesimilar to a government service (see Buildings, Private

Nonprofit (PNP) Facility and Shelter Workshops).

References: 44 CFR §206.221(e)(6)Public Assistance Guide, FEMA 322, page 14

63

Homeowners’ Associations are generally formedfor the specific purpose of managing, maintainingand governing the use of property within a

specific defined area for and on behalf of thehomeowners of that area. Services sometimes includeemergency services such as fire and ambulance;utilities such as power, water and sewer, and sewagetreatment; medical clinics; roadways within the defined community area; and/orrecreational facilities (golf, tennis, pools), parks and lakes, and communitycenters.

A Homeowners’ Association may be eligible for public assistance for somefacilities if the Association meets the eligibility criteria for a Private Nonprofit(PNP) Applicant (see Private Nonprofit (PNP) Applicant). Eligible facilities arethen limited to those eligible for a PNP Applicant (see Private Nonprofit (PNP)Facility), and must be open to the general public. Roadways and recreationalfacilities are not eligible PNP facilities.

Homeowners’ Associations generally have membership dues and prohibitaccess by those who are not members or by citizens outside the geographiccommunity area. Under these circumstances, the services and facilities are notconsidered to be open to the general public and, therefore, are not eligible forpublic assistance.

In addition to permanent restoration, eligible facilities owned by a Homeowners’Association (e.g., a sewage treatment plant) are eligible for debris removal andother protective measures. The work must be done by either the Homeowners’Association or by an eligible local or State level government entity. Removal ofdebris from non-eligible facilities, such as roadways within the community, is onlyeligible if performed by an eligible local or State level government entity.

Reference: Public Assistance Guide, FEMA 322, page 54

Homeowners’Associations

64

ImmediateNeeds

Funding (INF)

Immediate Needs Funding (INF) is intended tomeet an Applicant’s urgent needs in the initialaftermath of a disaster. Upon request by the State,

FEMA can provide these funds for work an Applicantmust perform immediately and pay for within the first 60days after the disaster declaration. The funding isavailable for emergency work only; it cannot be used to

complete permanent repairs. Eligible activities typically include debris removal,emergency protective measures, and removal of health and safety hazards. Thefunding may be used to cover such costs as overtime payroll, equipment costs,materials purchases, and contracts when these costs are incurred foremergency work.

FEMA identifies potential immediate needs during thePreliminary Damage Assessment (PDA; see PreliminaryDamage Assessment (PDA)). INF may total up to 50percent of PDA estimates for eligible emergency work.Upon approval, FEMA will fund the Federal share of thetotal INF and funds are placed in the State’s accountwithin days of the disaster. If an Applicant receivesINF, the INF amount is later deducted from thegrants for the Applicant’s Category A and Bprojects. The grantee is responsible for disbursingINF to eligible Applicants.

Reference: Immediate Needs Funding Standard Operating Procedure, FEMA SOP9570.7, dated September 1999

65

ImmediateThreat

The threat of damage to improved private or publicproperty or to lives, public health, and safety as aresult of an event that could reasonably occur

within 5 years is called an Immediate Threat. Debrisremoval, emergency protective measures, andemergency repairs to some facilities are eligible only ifthese actions are necessary to lessen or eliminate animmediate threat. The following are examples of how the definition of animmediate threat applies to various disaster scenarios:

For a flood, the immediate threat exists if a 5-year flooding event couldcause damage to improved property or threaten lives, public health, andsafety. This is not a flood that necessarily happens within 5 years, but aflood that has a 20 percent chance of occurring in any given year.

For a landslide, an immediate threat may exist if the earth on aslope could slide as the result of a moderate amount ofrainfall. A geotechnical study may be necessary todetermine if an immediate threat exists (see GeotechnicalStudy).

For an earthquake, an immediate threat may exist ifmoderate ground shaking, such as might be expectedduring an aftershock, could cause further damage to astructure or threaten the safety of the structure’soccupants.

For a hurricane, an immediate threat may exist ifa facility damaged by storm surge could beexposed to additional flooding from asubsequent 5-year event. Similarly, if a wind-damaged facility is subject to additional damageby moderate winds, such winds could beconsidered an immediate threat.

References: Section 403 of the Stafford Act44 CFR §206.221(c)Public Assistance Guide, FEMA 322, pages 50-51

66

ImprovedProjects

Applicants performing restoration work on adamaged facility may use the opportunity to makeadditional improvements while still restoring the

facility to its pre-disaster design. For example, anApplicant might propose laying asphalt on a gravel roador replacing a firehouse that originally had two bays with

one that has three. Projects thatincorporate such improvements arecalled Improved Projects. For themost part, these are projects inwhich the funding for approved workcannot be tracked within theimproved project because of physicalchanges or contractingarrangements.

An improved project may berequested for both small and largeprojects, but must be approved bythe grantee prior to construction. Any

project that results in a significant change from the pre-disaster configuration(that is, different location, footprint, function, or size) must be reviewed by FEMAprior to construction to ensure completion of the appropriate environmental and/or historical review. Grantee approval must be held pending such review.Federal funding for improved projects is limited to the Federal share of theestimated costs and to the time limits that would be associated with repairingthe damaged facility to its pre-disaster design. Justified time extensions may beapproved. The balance of the funds is a non-Federal responsibility. Funds toconstruct the improved project can be combined with a grant from anotherFederal agency; however, Federal grants cannot be used to meet the grantee orlocal cost-share requirement.

If the original facility is being repaired and improvements are being added,Section 406 Hazard Mitigation funding may be applied to the original facility. Ifthe improved project involves a new facility on the same site or on a differentsite, Section 406 Hazard Mitigation funding will not be applied to that project.

References: 44 CFR §206.203(d)(1)Public Assistance Guide, FEMA 322, page 85

67

ImprovedProperty

Improved Property is any structure, facility, or itemof equipment that was constructed, built, ormanufactured.

Examples of improved property include:

Buildings

Levees

Roads

Vehicles and Equipment

Unimproved property is not eligible for FEMA fundingfor permanent restoration or for protection by theperformance of emergency protective measures.Examples of unimproved property include agriculturalland, a hillside or slope, forest, or a natural streambank.

See Eligible Facility.

References: 44 CFR §206.201(c) and §206.221(d)Public Assistance Guide, FEMA 322, pages 45 and 49

68

InactiveFacilities

To be eligible for public assistance, a facility musthave been in active use at the time of the disaster.Inactive Facilities are typically not eligible.

Exceptions to this requirement occur when:

The facility was only temporarily inoperative forrepairs or remodeling

The facility was temporarily unoccupied betweentenants

Future use by the Applicant was firmly established inan approved budget

The owner can clearly demonstrate to FEMA thatthere was an intent to begin use within a reasonableamount of time

References: 44 CFR §226.226(i)(2)Public Assistance Guide, FEMA 322, pages 20-21

69

IncidentPeriod

The Incident Period is the time span during whichthe disaster-causing incident occurs. This periodvaries in length, depending on the type of incident.

For example, the incident period for a flood event couldbe several weeks, because the water has to crest andrecede; while the incident period for a tornado would beone day, because the damage occurs in a matter of

minutes. Damage resulting from the disaster mustfall within the incident period or be a result ofevents occurring during the incident period tobe eligible; however, emergency workcompleted in reasonable anticipation of thatincident may also be eligible. The incidentperiod will be established by FEMA in theFEMA-State Agreement.

Reference: Public Assistance Guide, FEMA 322, pages 23-24

70

Indian TribalGovernments

Federally recognized Indian Tribal Governments,including Alaska Native villages and organizations,are eligible Applicants. Privately owned Alaska

Native corporations are not eligible Applicants.

Generally Indian tribes are considered subgrantees andreceive grant funds from the State, which acts as thegrantee (see Grantee). In some States, however, State

regulations prohibit the State from acting as grantee for an Indian tribe. In suchcases or upon their own choice, the tribal government may act as its owngrantee. The tribe must apply to the FEMA Regional Director to become its owngrantee.

An Indian tribal government that chooses to act as its own grantee becomesresponsible for the entire non-Federal share of the public assistance grant (seeCost Share). In addition, the tribal government will be required to comply withthe following conditions in order to receive funding:

1. Meeting all requirements placed on a grantee in accordance with 44 CFRPart 13

2. Executing a formal FEMA-Tribal Agreement similar to the FEMA-StateAgreement (see FEMA-State Agreement)

3. Developing and submitting a Public Assistance Administrative Plan similarto the State Administrative Plan (see State Administrative Plan)

References: Section 102(6) of the Stafford Act44 CFR Part 1344 CFR §206.202(f) and §206.222(c)Administering American Indian and Alaska Native Tribal Government Funding,FEMA Policy 9521.4, dated December 28, 1999Public Assistance Guide, FEMA 322, page 9

71

Insurance

The amount of Insurance proceeds (the greater ofactual or anticipated) is deducted from the eligiblecosts. By taking the reduction, FEMA eliminates

the potential for duplication of benefits for the same loss.This applies to both general property insurance andflood insurance (see Flood Insurance).

For general property insurance, FEMA will use theApplicant’s insurance adjustment, if available, to reduce the eligible amount offunding by the amount of the actual insurance proceeds provided. However, ifthis amount is unknown, a FEMA insurance Specialist will review the insurancepolicy and damaged facility to determine the anticipated insurance proceeds,which are then deducted from the original eligible amount. As a condition ofreceiving Federal assistance, the Applicant must obtain and maintain insurancesufficient to protect against future loss to such property from the same peril forthe life of the project.

For flood damage, the reduction of eligible costs is dependent on whether or notthe damage is located within the Special Flood Hazard Area (SFHA). The SFHAis a comprehensive term established by the National Flood Insurance Program(NFIP) that includes areas of the 100-year floodplain,a floodway or a coastal high hazard area. If thedamage occurs outside of the designated SFHA, thereduction is the same as described for generalproperty insurance. If the damage is within theSFHA, and the Applicant has flood insurance but noNFIP coverage, then FEMA will compare theApplicant’s flood insurance adjustment to what theycould have obtained through NFIP coverage. Basedon the two adjustments, FEMA will use the highestadjustment to deduct from the eligible costs (seeFlood Insurance).

Notes:

If the insurance is not maintained, the facility will receive no futureassistance

If the eligible damage is less than $5,000, the purchase of insurance isnot required

References: Sections 311, 312, and 406 of the Stafford Act44 CFR §206.250-253Duplication of Benefits, Non-Government Funds, FEMA Policy 9525.3,dated October 30, 2000Public Assistance Guide, FEMA 322, pages 94-98

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IrrigationFacilities

Irrigation Facilities are channels and associatedfeatures generally designed and constructed for thepurpose of transporting water for agricultural use.

However, to be eligible for public assistance funding, aPrivate Nonprofit (PNP) Irrigation Facility must provideessential services of a governmental nature to the

general public. This includes providingwater for fire suppression and generatingand supplying electricity and drinking water.Eligible components of the irrigation systeminclude the canal and associated features,such as siphons, pumps, retention/collection dams, and flow control gatesassociated with the eligible services. Thecanals must be improved and maintained;natural channels are not eligible. Debris

removal and permanent restoration are only eligible to the point of restoring thepre-disaster hydraulic capacity. Irrigation facilities solely used for agriculturalpurposes are not eligible.

The eligible portion of the services provided by eligible PNP Irrigation Facilitiesmeets the definition of critical services; therefore, PNP Applicants are notrequired to apply for a Small Business Administration loan for that portion of theiroperation (see Private Nonprofit (PNP) Facility-Critical Services and SmallBusiness Administration (SBA)). Grant assistance for eligible mixed-usefacilities will be prorated based on the use of the facility.

Publicly owned irrigation facilities generally are eligible for public assistance.

References: Sections 102(9) and 302 of the Stafford ActPublic Assistance Guide, FEMA 322, pages 14 and 55

73

Labor Costs

The Labor Costs associated with conductingeligible work may be claimed at an hourly rate.Labor rates can include actual wages paid plus

fringe benefits paid or credited to personnel. Differenteligibility criteria apply to labor rates for different kinds ofemployees and work. The terms of an Applicant’semployment and pay will be determined according tothe Applicant’s pre-disaster written policies. An Applicant’s own labor forces areknown as force account.

For permanent work performed by an Applicant, both regular time and overtimeare eligible for all employees. Overtime may be credited in actual wages or incompensatory time off.

For emergency work, only overtime labor is eligible for:

Permanent employees

Reassigned employees

Seasonal employees used during theseason of anticipated employment

Both regular time and overtime labor are eligiblefor non-budgeted employees assigned specifically toperform emergency work, including:

Temporary employees

Essential employees called back from administrative leave

Permanent employees funded from an external source such as grants

The labor costs for employees sent home or told not to report due to emergencyconditions are not eligible.

Refer to Donated Resources, Fringe Benefits, Reassigned Employee, andTemporary Employee for an explanation of appropriate regulatory criteria andpolicy guidelines that must be adhered to when claiming costs associated withthese specific items.

References: Section 406 of the Stafford Act44 CFR §206.221(b) and §206.228(a)(4)Labor Costs – Emergency Work, FEMA Policy 9525.7, dated July 20, 2000Public Assistance Guide, FEMA 322, pages 35-37

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Landslides

Landslides occur when a mass of soil, rock, orother material on a slope moves, or threatens tomove due to adjacent slope failure. Such slope

failures may be caused by soil saturation, erosion, orearthquake movement. Stabilization or restoration offailed slopes is only eligible in the circumstancesdescribed below.

Emergency Work: If a disaster-related landslide poses animmediate threat to life, public health and safety, or

improved public or private property, cost-effectivemeasures for reducing the threat may be eligible.

Examples include evacuation, excavation, buttressing,de-watering, modification of surface drainage, and

grading. Such measures must be temporary innature. FEMA will provide assistance to stabilize the

area of the immediate threat only; FEMA will not assist with the stabilization ofan entire hillside or with long-term stabilization of the limited area.

Permanent Work: If a disaster-related landslide damages an eligible facility,repairs to that facility and replacement of a reasonable amount of lost naturalground necessary to support the facility are eligible as long as the site is stable.However, if the site was unstable before the disaster, the Applicant must pay tostabilize the site before FEMA will provide funds to repair the facility. A damagedengineered and constructed slope may qualify as a facility.

In some cases, the stability of a site cannot be determined by visual inspection,and a geotechnical study may be necessary to determine the existence andcause of instability (see Geotechnical Study).

If the disaster is the exclusive cause of site instability, FEMA can assist withslope stabilization.

References: Landslide Policy Relating to Public Facilities,FEMA Policy 9524.2, dated August 17, 1999Public Assistance Guide, FEMA 322, pages 54-55

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LargeProjects

Two different payment methods have beenestablished for Public Assistance Program grants.The difference between the methods is dependent

on whether a project is small or large. Thatdetermination is based on a cost threshold that changesannually. The threshold is updated at the beginning ofeach fiscal year and published in the Federal Register.For the year ending September 30, 2001, the threshold is set at $50,600. If theestimated cost of a project is equal to or exceeds this threshold, the project isprocessed as a large project.

Large Projects are funded using a final accounting of actual costs. The stepsfor processing a large project are described below.

1. A Project Worksheet is prepared by the Project Officer. FEMA approvesfunding using the estimate and obligates the Federal share of the funds tothe State (see Payment of Claims).

2. As the project proceeds, the Applicant periodically request funds from theState to meet expenses that have been incurred or that are expected inthe near future. It may take time to process a request for funds throughthe State system, and the Applicant should take this into account whentiming requests for funds.

3. When the project is complete, the State determines the final cost ofaccomplishing the eligible work, often performing inspections or audits todo so. The State then submits a report on the completed project to FEMA,certifying that the Applicant’s costs were incurred in the completion ofeligible work.

4. After reviewing the State’s report, FEMA will consider adjusting theamount of the grant to reflect the actual cost of the eligible work.

While proceeding with the project, the Applicant must ensure that grant funds areused only for eligible work. When reviewing final costs, the State cannot providefunds for costs that are outside the scope of work approved by FEMA. TheApplicant should contact the State if changes to the scope of work are foreseenor identified during performance of the work.

Similarly, an Applicant may find during construction that FEMA’s initial estimate istoo low. If this happens, the Applicant should request an increase in the fundsFEMA has made available for the work. As with changes in scope, the Applicantshould request funding level increases through the State as soon as the needbecomes apparent (see Cost Overrun).

References: 44 CFR §206.203(c)(1) and §206.205(b)Public Assistance Guide, FEMA 322, pages 68 and 82-83

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LegalResponsibility

Work must be the Legal Responsibility of theApplicant at the time of the disaster to beeligible. Ownership of the facility is sufficient to

establish the responsibility for work to repair the facility.However, if the Applicant leases the facility as a tenant,repairs to that facility are not eligible unless the leasespecifically states that the lessee is responsible for the

repairs. A copy of the lease agreement should be provided to FEMA todetermine responsibility. The lease usually contains general repair andmaintenance language; however, responsibility for damage resulting from adisaster may not be established. In the absence of any mention in the lease, theowner of the facility is assumed to be responsible for the repair.

When an Applicant leases an owned facility to a tenant, the lease should beexamined to establish responsibility for disaster repairs.

Facilities owned by Federal agencies typically are noteligible for public assistance. Some Federalagencies, however, own facilities but turnresponsibility for operation and maintenance ofthese facilities over to local agencies. Thesemay be eligible for public assistance. Examplesmay include roads constructed by the Bureauof Indian Affairs and reservoirs and waterdelivery systems constructed by the U.S.Bureau of Reclamation.

References: 44 CFR §206.223Public Assistance Guide, FEMA 322, pages 16-17 and 25

77

Libraries

Libraries are eligible for Federal assistance, if theyare public or if they are owned by a PrivateNonprofitorganization, provided that they are open to the

general public. Some eligible costs associated with alibrary include:

Removal and replacement of destroyed books,shelving, carpeting and furniture

Labor involved with disposal and re-shelving ofbooks and cleaning of damaged books

Dump charges associated with the disposal ofbooks and debris

For other eligible costs, see Buildings, Equipment,and Private Nonprofit (PNP) Facility.

References: Section 102 of the Stafford Act44 CFR §206.226(g)Public Assistance Guide, FEMA 322, page 14

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Materials

The costs associated with supplies that werepurchased or taken from an Applicant’s stock andused during performance of eligible work may be

claimed on the basis of quantity. Materials must be ofreasonable amount andcost.

If available, actual costsfor materials should be quantified from invoices. Ifinvoices are not available, costs may be developedfrom the Applicant’s historical data or by contactingarea vendors. Where applicable, salvage valuesof items being replaced should be deductedfrom costs.

References: Office of Management and Budget Circulars A-21, A-87, and A-122Disposition of Equipment, Supplies and Salvaged Materials, FEMAPolicy 9525.12, dated August 29, 2000Public Assistance Guide, FEMA 322, page 37

79

Private Nonprofit (PNP) Museums are confinedfacilities that are constructed or manufactured topreserve and exhibit a documented collection of

artistic, historic, scientific or other importance. PNPMuseums are eligible for public assistance provided thatthey are open to the general public. Only the buildings,fixed facilities and equipment used for the preservationand exhibition of the collection, including appurtenances and infrastructure, areeligible. Administrative buildings and other assets that are not essential to thispurpose, including the grounds and open natural areas, are not eligible.

Publicly owned museums generally are eligible for public assistance.

See Art for eligibility of museum collections and objects.

References: Sections 102(9) of the Stafford Act44 CFR §206.221(e)(6)Private Nonprofit Museum Eligibility,FEMA Policy 9521.2, dated August17, 1999Public Assistance Guide, FEMA 322, page 14

Museums

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Mutual AidAgreement

AMutual Aid Agreement is an agreement betweenjurisdictions or agencies to provide servicesacross boundaries in the event of an emergency.

The conditions of the agreement can be to providereciprocal services or direct payment for services.FEMA will reimburse mutual aid costs provided that:

The agreement is written and was in effect prior to the disaster

The assistance is requested by the Applicant

The work performed is directly related to thedisaster and is otherwise eligible for FEMAassistance

The entity that received the aid was chargedfor that aid. For example, Green Countyremoves debris in Blue County. As part of theirmutual aid agreement, Green County chargesBlue County for the work. FEMA may providefunding to Blue County

The agreement is not contingent upon declaration of a major disaster oremergency

The entity can provide documentation of rates and payment for services,if requested

The employees of the entity providing supplemental assistance are consideredas extra hires or contract labor; therefore, both regular and overtime labor areeligible.

References: Mutual Aid Agreements for Public Assistance,FEMA Policy 9523.6, dated August 17, 1999Public Assistance Guide, FEMA 322, page 25

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NationalEnvironmentalPolicy Act(NEPA)

The National Environmental Policy Act (NEPA)provides a specific planning process that Federalagencies must follow before funding a project. The

process ensures that the agency decision makers andlocal governments have considered, and the generalpublic is informed of, the environmental consequencesof the Federal action.

Emergency work (debris removal and emergencyprotective measures) and any permanent workproject that restores a damaged facility essentially topre-disaster design are excluded from NEPA reviewthrough a statutory exclusion identified in Section316 of the Stafford Act. All other projects requireNEPA review.

Examples of these projects are:

Any project that involves breaking ordisturbing new or undeveloped ground

Work taking place in floodplains or wetlands

Improved projects that increase the size or footprint of a facility (seeImproved Projects)

Alternate or relocated projects (see Alternate Projects and Relocation,Permanent)

Hazard mitigation projects affecting floodplains or wetlands, such asculvert enlargements

Any project that changes the function of a facility

Although performance of a NEPA review is a Federal responsibility, Applicantsmay be requested to provide information to expedite the process.

While the requirements of other environmental laws, such as the EndangeredSpecies Act and the National Historic Preservation Act, are independent ofNEPA, they are usually addressed in the NEPA process. Projects exempt fromNEPA must still be reviewed for compliance with these other laws.

References: Section 316 of the Stafford Act44 CFR Part 1040 CFR Parts 1500-1508Environmental Policy Memoranda,FEMA Policy 9560.1, dated August 17, 1999Public Assistance Guide, FEMA 322, pages 102-104

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NationalHistoric

PreservationAct (NHPA)

The National Historic Preservation Act (NHPA)requires that Federal agencies take into accountthe effects a project will have on historic resources

and allow the Advisory Council on Historic Preservationthe opportunity to comment on the effects of the project.Historic resources include structures, archaeologicalsites, traditional cultural properties, or other cultural

resources included on, or eligible for inclusion on, the National Register ofHistoric Places.

FEMA activities requiring NHPA compliance include repair or restoration ofhistoric facilities, demolition or removal of historic structures, and improved,alternate, or relocated projects affecting historic or archaeological sites (seeAlternate Projects, Improved Projects, and Relocation, Permanent). FEMAis required to make a good faith effort to identify historic properties within a givenproject area’s potential effect.

The NHPA requires FEMA to:

Identify historic properties that may be affected byFederally funded activities

Assess the effects of the proposed work onhistoric properties

Consult with the State Historic PreservationOfficer (SHPO)/Tribal Historic PreservationOfficer (THPO), the Advisory Council onHistoric Preservation and other interestedparties to resolve adverse effects

Proceed with the work only after completing thehistoric review process

The NHPA encourages FEMA to establish “programmatic agreements” with theState emergency management agencies, SHPOs/THPOs, and the AdvisoryCouncil. A “programmatic agreement” outlines roles and responsibilities,streamlines the process for compliance with Section 106 of the NHPA for certaintypes of projects and identifies types of projects that are excluded from NHPAreview.

References: 36 CFR 800Section 106 of the National Historic Preservation ActModel Programmatic Agreement – Historic Review, FEMA Policy 9560.3, datedAugust 17, 1999Public Assistance Guide, FEMA 322, pages 108-109

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Negligence

Repair of damage caused by Negligence on thepart of the Applicant is not eligible forreimbursement. This issue often arises when an

Applicant fails to take prudent measures to protect afacility from further damage in the wake of a disaster.For example, the roof of a library is damaged during ahurricane. The Applicant does not install tarps on theroof to protect the building’s interior for several weeks. In that time, repeated rainshowers destroy the exposed books and furnishings. The damage caused bythe rains is not eligible unless the Applicant can document and justify whyemergency protective measures were not implemented in a timely manner. Theinstallation of the tarps is an emergency measure that would be eligible.

Damage caused by the Applicant, if unavoidable, is not necessarily negligence,especially in cases where the damage occurs during emergency responseefforts. For example, while using heavy equipment to prevent collapse of alevee, an Applicant damages the road that provides access to the levee. Eventhough the Applicant caused the damage, the repairs to the road may be eligible.

When inadequate design, such as an undersized culvert, contributes to damage,such damage is not considered negligence.

References: 44 CFR §206.223(e)Public Assistance Guide, FEMA 322, page 26

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Notice OfInterest (NOI)

Following the President’s declaration of anemergency or major disaster, the Governor’sAuthorized Representative (GAR) or designee will

normally conduct meetings for all potential Applicantsfor public disaster assistance. Applicants attending thebriefing are requested to complete and submit aRequest for Public Assistance (Request) (see Request

for Public Assistance (Request)). Prior to September 30, 1998, this Requestwas called a Notice of Interest (NOI). The NOI was completed and submittedat the briefing or it was to be submitted to the GAR no later than 30 days afterdesignation of the disaster area.

On the NOI, the Applicant indicated the broad categories ofwork and damaged facilities that were caused by the disasterincident and identified the Applicant’s representative whowould manage the grant application. The NOI wasreplaced by the Request for Public Assistance onOctober 1, 1998 (see Request for PublicAssistance (Request)).

Reference: 44 CFR §206.202(c)

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Other FederalAgencies

For certain types of facilities, disaster assistance isthe responsibility of a Federal agency other thanFEMA. FEMA cannot provide assistance for the

permanent repair of these facilities. This restrictionapplies even if the authorized agency decides not toprovide assistance.

Other Federal Agencies with authority to providedisaster assistance include the following:

Federal Highway Administration (FHWA): assistance with damage toroads and bridges on the Federal-Aid Roads (see Federal-Aid Roads)

U.S. Army Corps of Engineers: repair of locally owned flood control works,such as dams, levees, and flood control channels (see Flood ControlWorks)

Natural Resources Conservation Service: repair of locally owned floodcontrol works (see Flood Control Works)

Department of Housing and Urban Development (HUD): assistance withdamaged properties of public housing authorities

Even though FEMA cannot assist with permanent repairs to these facilities, insome cases FEMA may fund emergency work if the authorized agency decidesnot to provide assistance. For example, if the FHWA decides not to providefunds to clear debris from a road on the Federal-Aid Roads, FEMA may fundthe work. Additionally, the coordination agreement between FEMA and HUDauthorizes FEMA to fund disaster-related emergency work for disaster-damaged public housing authority properties.

Some Federal agencies own facilities but turn responsibility for operation andmaintenance of these facilities over to local agencies. Examples include:

Roads constructed by the U.S. Forest Service and the Bureau of IndianAffairs

Reservoirs and water delivery systems constructed by the U.S. Bureau ofReclamation

FEMA may provide assistance for the permanent repair of these facilities if theagreement between the Federal and local agencies specifically assignsresponsibility for repairs to the local agency (see Legal Responsibility).

References: Sections 102(8) and 312 of the Stafford Act44 CFR §206.226(a)Public Housing Authorities, FEMA Policy 9523.7, dated March 19, 2001Public Assistance Guide, FEMA 322, pages 17-20

86

FEMA provides assistance for restoration of Parksand Recreational Areas. Roads, buildings, andutilities within those areas are eligible (see Roads,

Buildings and Utilities). Additional recreationalfeatures, such as playground equipment, ball fields,swimming pools, tennis courts, boat docks and ramps,

piers, and golf courses are also eligible. FEMA doesnot pay for the restoration of natural featuressuch as stream channels, hillsides, trees, andlandscaping. Grass and sod are eligible onlywhen necessary to stabilize slopes andminimize sediment runoff (see Trees,Shrubs, and Other Ground Cover).Repairs to beaches may be eligible in limitedcircumstances (see Beaches).

Recreational facilities operated by PrivateNonprofit organizations are not eligible forpublic assistance (see Categories ofWork).

Parks AndRecreational

Areas

References: Section 102(8) of the Stafford Act44 CFR §206.221(e) and (h)Public Assistance Guide, FEMA 322, pages 15 and 58-60

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FEMA and the State share responsibility for makingPublic Assistance Program funds available to theApplicant. This is accomplished through the

process known as Payment of Claims.

FEMA is responsible for approving project applications,which serve as the basis for Federal funding. Onceapproved, FEMA makes the Federal share of theapproved amount available to the State through a process known as obligation.Funds that FEMA has obligated are available to the State via electronic transfer,but reside in a Federal account until the State is ready to award grants to theappropriate Applicants. The State administers the grant to the Applicant asoutlined in the State Administrative Plan.

The State is responsible for securing the State share of the grant amount andfor notifying the Applicant that funds are available. The method of payment tothe Applicant is dependent on whether the project is small or large.

Small projects: payment is made on the basis of an estimate prepared atthe time of project approval. The State makes payment to the Applicant assoon as possible after FEMA has obligated the Federal share (see SmallProjects).

Large projects: the State makes payments to the Applicant on the basis ofactual incurred costs as the project proceeds. Once the project iscompleted, FEMA may adjust the amount initially obligated for the projectdepending on an accounting of final eligible costs (see Large Projects).

Payment OfClaims

References: 44 CFR §13.21 and §206.205Public Assistance Guide, FEMA 322, pages 82-83

88

PPPPPermanent Work refers to any activity that must beperformed to restore a damaged facility, fromminor repairs to complete replacement. The work

is grouped into categories (see Categories of Work).There are three basic criteria for permanent work:

Design: FEMA provides funds to restore a facility toits pre-disaster design. If a gravel road is washed outduring a flood, FEMA cannot provide a grant toreplace the gravel with apaved surface.

Function: The facility must perform the samefunction that it was designed to perform beforethe disaster. For example, a school gymnasium isin need of repair after an earthquake. The schooldistrict proposes to convert the space into a two-story office complex. Only the repairs to the gymare eligible. FEMA cannot provide a grant for theconversion to office space.

Pre-disaster capacity: The restored facility mustoperate at the capacity available before thedisaster. For example, a hospital designed for100 beds is damaged beyond repair during ahurricane. The eligible replacement facility must be designed for at least100 beds. FEMA will not reimburse for the cost to build a larger hospitalrequired due to a greater service area or over-utilization of space. If codedictates a larger area per unit of capacity, only then will FEMA pay toincrease the size of the building?

FEMA may make exceptions to these criteria for Alternate and ImprovedProjects (see Alternate Projects and Improved Projects).

PermanentWork

References: Section 406 of the Stafford Act44 CFR §206.201(g) and §206.226Public Assistance Guide, FEMA 322, pages 44 and 53-60

89

The costs of restoring damaged facilities are eligiblefor public assistance funding, but only on the basisof the facility’s Pre-Disaster Design. Pre-disaster

design is defined as the size and capacity of a facility asit existed immediately prior to the disaster. There are tworestrictions to restoration based on the pre-disasterdesign:

1. If a facility was being used for lesser purposes than those for which it wasdesigned, restoration will only be eligible to the extent necessary to restorethe immediate pre-disaster use.

2. If a facility was inactive at the time of the disaster (see Inactive Facilities),restoration will not be eligible except in those instances:

Where the facility was only temporarily inoperative for repairs orremodeling

Where the facility was temporarily unoccupied between tenants

Where future use by the Applicant was firmly established in an approvedbudget

Where the owner can clearly demonstrate to FEMA that there was anintent to begin use within a reasonable time

Cost-effective hazard mitigation projects may alter the pre-disaster design of afacility but may be included in the repair, if approved by FEMA (see Codes andStandards).

Pre-DisasterDesign

References: Section 406(e) of the Stafford Act44 CFR §206.201(h) and §206.226(i)(1) and (2)

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The Preliminary Damage Assessment (PDA) is ajoint venture between FEMA and the State andlocal governments to document the impact and

magnitude of the disaster on individuals, families,businesses, and public property. The Governor will usethe information gathered during the PDA process todetermine whether Federal assistance should berequested.

The PDA is conducted once the State determines that the recovery effort isbeyond State and local capabilities. State officials will ask the appropriate FEMARegional Office to conduct a joint PDA with State and local officials in thoseareas defined by the State. After the PDA teams have documented the damage,the Governor will determine whether or not to request Federal disasterassistance. The Governor may limit the request for assistance or may seek thefull range of assistance authorized under the type ofdeclaration being requested. The Governor’srequest is addressed to the President butsubmitted through the appropriate FEMARegional Director.

PreliminaryDamage

Assessment(PDA)

Reference: 44 CFR §206.33Public Assistance Guide, FEMA 322, page 2

91

APrivate Nonprofit (PNP) Applicant must meetFEMA’s eligibility criteria for Applicants and musthave:

An effective ruling letter from the U.S. InternalRevenue Service granting tax exemption underSection 501(c), (d), or (e) of the Internal RevenueCode of 1954, as amended, or

State certification that the organization is anonprofit organization under State law.

For PNPs performing an eligible function, assistanceincludes repair or replacement of damaged facilities andrelated cost, such as emergency protective measures toprevent damage to the facility or its contents and debrisremoval.

Operating costs for providing services are not eligible for PNPApplicants, even if they are increased by the event. Ineligible items include labor,material, and equipment costs for providing assistance to disaster victims, evenif the services are outside the organization’s basic mission. If the organization isproviding these services under contract to a local government or State agency,the costs may be eligible if claimed by the government or agency.

PNP facilities that provide only non-critical services are required to apply for aloan from the Small Business Administration before they can be considered forFEMA assistance for permanent work (see Private Nonprofit (PNP) Facility-Critical Services and Small Business Administration (SBA)). If the PNP isdeclined for a loan or the loan does not cover all eligible damages, the FEMA-eligible PNP may apply to FEMA for the remainder of the cost to repair eligibledamaged facilities (see Eligible Applicants).

PrivateNonprofit(PNP)Applicant

References: Section 406(a)(2) of the Stafford Act44 CFR §206.221(f) and §206.222(b)Public Assistance Guide, FEMA 322, pages 10-15

92

APrivate Nonprofit (PNP)Facility must be open tothe general public, the

responsibility of an eligible PNPApplicant and provide anessential governmental service.These services are:

Educational

Utility

Emergency

Medical

Custodial Care

Irrigation Facilities

Museums

Zoos

PrivateNonprofit

(PNP) Facility

CommunityCenters

Libraries

HomelessShelters

Senior Citizen Centers

Rehabilitation Facilities

Shelter Workshops

Health and Safety Services

PNP facilities include buildings, structures, and systems belonging to eligiblePNP Applicants. Administrative and support buildings essential to the operationof PNP educational, emergency, medical and custodial care facilities are eligiblealso. All eligible PNP facilities may apply directly to FEMA for emergency workassistance. For permanent work, only PNP facilities that supply critical servicesmay apply directly to FEMA for assistance (see Private Nonprofit (PNP)Facility-Critical Services and Irrigation Facilities). Others apply first to theSmall Business Administration (SBA) for assistance with permanent work (seeSmall Business Administration (SBA)).

Facilities with mixed activities (eligible and non-eligible) may be eligible if thefacility has over 50 percent of its space dedicated to eligible uses. FEMA willthen consider damages to the entire facility, not just to the portion occupied bythe eligible service. However, assistance would be pro-rated based on thepercentage of space used for eligible purposes. Contents within the ineligiblespace would not be eligible for any assistance. Assistance for costs not eligiblefor FEMA assistance may be available from the SBA.

If the eligible portion of a mixed-use facility (as determined in the precedingparagraph) provides critical services, in whole or in part, application may bemade directly to FEMA for permanent work for the eligible portion. If theservices are all non-critical, application should first be made to the SBA (seePrivate Nonprofit (PNP) Applicant).

References: Section 102(9) of the Stafford Act44 CFR §206.221(e) and §206.223(b)Private Nonprofit Facility (PNP) Eligibility, FEMA Policy 9521.3, April 25, 2000Public Assistance Guide, FEMA 322, pages 10-16 and 32-33

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An eligible Private Nonprofit (PNP) Facility thatsupplies Critical Services may apply directly toFEMA for public assistance funding for

emergency work and permanent work. These criticalservices include:

Power: facilities for generation, transmission, anddistribution of electric power

Water: facilities for the treatment, transmission and distribution of water bya water company supplying municipal water. In addition, water provided byan irrigation company for potable, fire protection or electricity generationpurposes (see Irrigation Facilities).

Sewer and Wastewater: facilities for collection, transmission, andtreatment of wastewater

Communications: facilities for transmission, switching and distribution oftelecommunications traffic

Emergency Medical Care: facilities which provide direct patient care toinclude hospitals, clinics, outpatient services, and nursing homes

Fire Protection/Emergency: fire and rescue companies includingbuildings and vehicles essential to providing emergency services, andambulance companies

Eligible PNP facilities that do not provide critical services must first apply for aloan from the Small Business Administration (SBA) for permanent workassistance (see Private Nonprofit (PNP) Facility and Small BusinessAdministration (SBA)). If they are declined for a loan or if the loan does notcover all eligible damages, they may apply to FEMA for the remainder of thedamages. This distinction between critical and non-critical PNPs only applies topermanent work assistance.

Eligible PNP facilities that do not provide critical services still may apply directlyto FEMA for emergency work assistance.

References: Section 406(a)(3) of the Stafford Act44 CFR §206.221(e) and §206.223(b)

PrivateNonprofit(PNP) Facility –Critical Services

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Private Property is not eligible for permanentrestoration under the Public Assistance Program.However, an eligible Applicant or Federal agency

may perform emergency protective measures on privateproperty, such as the construction of a temporary leveeto protect private and public improved property. In this

case, the work performed is eligible; however, theremoval of the temporary levee on private

property is not eligible, unless the leveecauses a health and safety risk.

If an eligible Applicant damages privateproperty as a result of doing eligible work,including the removal of debris, repairs tothat property are not eligible unless the

damage results in a health or safetyrisk. Similarly, if private property isdamaged by a Federal agency engagedin disaster response efforts, the Federal

government is not liable for repairs to that property because the State must holdand save the Federal government free from damages resulting from the work.

PrivateProperty

References: Section 407(b) of the Stafford Act44 CFR §206.208, §206.222, and §206.224Public Assistance Guide, FEMA 322, page 46

95

Programmatic Closure occurs when FEMAensures that all of the grants awarded under thePublic Assistance Program for a given disaster

meet the statutory and regulatory requirementsgoverning the program. To achieve programmaticclosure, FEMA ensures that all funds for small projects(see Small Projects) have been obligated and that forall large projects (see Large Projects) funds have been fully obligated and workcomplies with eligibility requirements and any conditions of the grant, such ascompliance with historic preservation regulations and any insurance purchaserequirements. In addition, FEMA must resolve any appeals before programmaticclosure (see Appeals).

ProgrammaticClosure

Reference: Public Assistance Guide, FEMA 322, page 87

96

Project

A Project is a logical method of performing workrequired as a result of the declared event. TheApplicant, working with the Public Assistance

Coordinator (PAC, see Public Assistance Coordinator(PAC)), is responsible for assessing disaster-relatedneeds and developing projects to address those needs.The Applicant must determine the best means for

addressing the needs and organize projects accordingly. Examples of projectsinclude:

A single site, such as a road washout or a damaged building

Multiple sites, such as repairs at various locations along a sewer line

A complex containing multiple facilities, such as a school campus or apark

Work that has been, or will be done, by a single contractor or a singlework crew, such as debris removal or citywide repairs to windows in publicfacilities

When developing projects, the PAC and Applicant must work together todevelop a complete scope of work for each project (see Scope of Work). Inaddition, the Applicant should consider all direct costs associated with thatproject. These costs include labor, equipment, materials, and contract costs.

References: 44 CFR §206.201(i)Public Assistance Guide, FEMA 322, pages 63 and 69-71

97

ProjectApproval

FEMA bases Public Assistance Program grants onestimates or actual cost information for individualprojects (see Project). When processing the

grants, FEMA assembles one or more of an Applicant’sprojects together as a Grant Package. Before funds aremade available to the State, FEMA must ensure that theproject complies with all applicable Federal laws,regulations, and policies. This is known as the Project Approval process.Responsibility for compliance rests with the Disaster Recovery Manager (DRM),a FEMA official appointed by the FEMA Regional Director. The PublicAssistance Officer, working with State counterparts, is usually responsible forthe specific functions that must be performed to complete the granting of funds.

When a Grant Package is approved, FEMA makes funds available to the Statefor the projects contained in that Grant Package. The State then notifies theApplicant that FEMA has approved the projects and proceeds with the paymentprocess (see Payment of Claims). When the cost of work on a project is lessthan $1,000, that work is not eligible.

If an Applicant has a large number of projects, it may take time to collect all ofthe information needed for grant purposes. Rather than waiting until informationfor all projects has been gathered, FEMA may process the projects in severalGrant Packages. This process allows funds to be made available to theApplicant in increments.

In some cases, the initial scope of work or cost estimate for a project may haveto be modified before the DRM can approve the project. If the changes aresignificant, FEMA will discuss the project with the State. The Applicant has theright to appeal any determination made relative to a project that affects eligibilityor funding (see Appeals).

Reference: 44 CFR §206.201(j) and §206.202

98

The Project Worksheet (PW) is a tool used by theApplicant and FEMA to develop projects (seeProject). The PW is used to record the following

information:

ProjectWorksheet

(PW)

References: Public Assistance Guide, FEMA 322, pages 69-80Public Assistance Applicant Handbook, FEMA 323, pages 17-33

Pre-disaster description of the facility and itscondition

The scope of eligible work for the project, includingthe cause of damage, dimensions of damage, andthe work necessary to repair the damage

Estimated or actual costs necessary to completethe work

Special considerations associated with the project,such as insurance and hazard mitigation

For small and large projects, the Applicant is responsiblefor maintaining supporting documentation. For selectedlarge projects, FEMA may collect supportingdocumentation and store that information in the CaseManagement File.

See Scope of Work, Special Considerations, Case Management File, LargeProjects, and Small Projects.

99

At the beginning of the disaster recovery process, aPublic Assistance Coordinator (PAC) isassigned to each Applicant. The PAC is a

customer service manager who works with theApplicant to resolve disaster-related needs and ensurethat the Applicant’s projects are processed as efficientlyand expeditiously as possible. By being involved fromthe declaration to the obligation of funds,the PAC ensures continuity of servicethroughout the delivery of the PublicAssistance Program.

The PAC’s responsibilities include:

Meeting with the Applicant to discussthe program and its application to theApplicant’s specific needs

Working with the Applicant to developprojects

Obtaining the appropriate technicalassistance if the Applicant requires it

Ensuring that projects comply with all applicable laws, regulations, andpolicies

Ensuring that any Special Considerations associated with a project areidentified and reviewed

Coordinating with the State as necessary to resolve problems

Maintaining the Case Management File

See Preliminary Damage Assessment (PDA), Project, SpecialConsiderations, and Case Management File.

PublicAssistanceCoordinator(PAC)

Reference: Public Assistance Guide, FEMA 322, pages 4-5 and 66-67

100

The Public Assistance Officer (PAO) is theFederal official specifically responsible foradministering the Public Assistance (PA) Program

during disaster operations. As the program manager,the PAO:

Advises the Federal Coordinating Officer on all PAProgram matters

Manages the operation of the publicassistance staff and anycoordination between the PAProgram and other arms of theFederal disaster recovery effort

Works with State counterparts toensure that the PA Program iseffective in meeting the needs ofApplicants

Ensures that the PA Program is operating in compliance with all laws,regulations, and policies

Typically, a State PAO is also designated. The State PAO has similarresponsibilities within the State organization, but is also responsible for keepingApplicants informed and educated and for working with Applicants to resolveproblems.

PublicAssistance

Officer(PAO)

Reference: Public Assistance Guide, FEMA 322, page 4

101

The definition of cost eligibility states that a costmust be reasonable and necessary to be eligible.What is a Reasonable Cost? A reasonable cost is

a cost that is both fair and equitable for the type of workbeing performed. For example, charging $75/hour for abackhoe is unreasonable when the going rate for abackhoe is $25/hour. There are several waysreasonable costs are established, such as:

Historic documentation for similar work

Average costs for similar work in the area

Published unit costs from national costestimating databases

FEMA cost codes

FEMA equipment rates

The reasonable cost requirement applies to all labor,materials, equipment, and contract costs awarded forthe performance of eligible work.

ReasonableCost

References: Office of Management and Budget Circulars A-21, A-87, AttachmentA.C.2, and A-122Public Assistance Guide, FEMA 322, pages 33-35

102

AReassigned Employee is an employee assignedto perform eligible work that is not part of his/hernormal job. Many times during a disaster,

employees are tasked to help other departmentsperform work. The labor cost for a reassigned employeeis eligible as long as the reassigned employee isperforming eligible work. An example of a reassigned

employee performing eligible work is having an office employee stackingsandbags or a police officer removing debris from a roadway.

For emergency work, only overtime is eligible for reassigned employees. Forpermanent work performed by an Applicant, both regular and overtime are

eligible.

When a reassigned employee has a higher salary than thepersonnel normally performing the work, the eligible laborrate should be an average rate for the employees whonormally perform that type of work.

ReassignedEmployee

Reference: Public Assistance Guide, FEMA 322, page 35

103

ARehabilitation Facility is an eligible PrivateNonprofit facility that operates for the purpose ofassisting in the rehabilitation of disabled persons.

Such a facility provides professional services for thefollowing types of evaluations:

Medical

Psychological

Social

Vocational

An eligible rehabilitation facility should provide a majority ofthese services. See Private Nonprofit (PNP) Applicantand Eligible Facility definitions for more details.

Publicly owned rehabilitation facilities generally are eligiblefor public assistance.

RehabilitationFacility

References: 44 CFR §206.221(e)(6)Public Assistance Guide, FEMA 322, page 12

104

An applicable Federal, State, or local standard,such as a floodplain management regulation, mayrequire that a damaged facility be relocated away

from a hazardous area. Permanent Relocation of afacility may also be required by FEMA if the facility issubject to repetitive heavy damage because of its

location. In either case, the relocation project willonly be approved if it is cost effective when projectcosts are compared with future damages, and notbarred by any other FEMA regulations or policies.

Eligible costs included in a relocation project are:

Demolition and removal of the old facility

Land acquisition

Construction of the new facility

Ancillary facilities, such as roads and utilities

When a relocation project is approved, no futureFederal funding for the repair or replacement of anyfacility subsequently built at the old site will be

approved. An exception is given for facilities or structures that facilitate an openspace use. Examples include minimal facilities for a park, such as benches,tables, restrooms, or minor gravel roads.

If relocation is not desirable, feasible or cost effective and restoration of thefacility in its original location is not practicable or allowed because of floodplain,environmental, or other considerations or laws, then the Applicant may apply foran Alternate Project (see Alternate Projects).

Relocation,Permanent

References: 44 CFR §206.226(e)Public Assistance Guide, FEMA 322, pages 31-32

105

When buildings that house essential communityservices, such as schools, government offices,and certain Private Nonprofit functions, such

as critical health facilities, are damaged extensivelyenough that they cannot be used until repairs are made,Temporary Relocation of the essential services maybe necessary. Criticality of the service and safety of thefacility are the factors used to determine the need for temporary relocation. Thecosts associated with temporary relocation are eligible but are subject to costcomparisons of alternate methods of providing facilities. Such costs include therental or purchase of temporary space and equipment. Maintenance, utilitiesand operating costs of the temporary facility are not eligible.

The decision whether to rent or purchase space and equipment must be basedon cost effectiveness. The length of time that rental or purchase costs areeligible will be based on the time required to complete repair work that will bringthe damaged facility to pre-disaster design. Normally, the period of time forwhich temporary relocation assistance may be provided is 6 months, based onthe regulatory time limitation for the completion of emergency work (44 CFR206.204(c)). However, the Governor’s Authorized Representative (GAR) mayrecommend a time extension based on information provided by the Applicantdocumenting extenuating circumstances beyond the control of the Applicant,complete design drawings, and the revised timeline for the permanentrestoration project. An extension will not be granted if the GAR does not meetthese requirements (see Time Limits).

References: Section 403 of the Stafford ActProvision of Temporary Relocation Facilities, FEMA Policy 9523.3, dated July 16, 1998Medical Care and Evacuations, FEMA Policy 9525.4, dated August 17, 1999Public Assistance Guide, FEMA 322, page 31

Relocation,Temporary

106

FEMA will restore an eligible facility to its pre-disaster design. Restoration is divided into twocategories: Repair or Replacement. If a facility is

damaged to the point where the Applicant thinks thefacility should be replaced rather than repaired, thefollowing calculation, known as the “50% Rule,” shouldbe used to determine the eligible components only. The

repair cost does not include codes and standards upgrades, demolition, sitework, or applicable project management costs.

1 Repair cost equals the cost of repair of damaged components only. The costdoes not include codes and standards upgrades, demolition, site work, orapplicable project management costs.

2 Replacement cost equals the cost of reconstructing the facility and includescurrent codes and standards upgrades. The cost does not includedemolition, site work, or applicable project management costs.

Repair Cost1

Replacement Cost2

Repair Cost1

Replacement Cost2

< 50% THEN only the repair cost is eligible

> = 50% THEN the replacement cost is eligible

Repair OrReplacement

IF

IF

References: Section 406(a) of the Stafford Act44 CFR §206.226(d)(1)Eligibility of Facilities for Replacement under 44 CFR 206.226(d)(1) (The 50%Rule), FEMA Policy 9524.4, dated September 24, 1998Public Assistance Guide, FEMA 322, pages 28-31

107

Request ForPublicAssistance(Request)

The Request for Public Assistance (Request) isthe form a public or Private Nonprofit organizationuses to apply for disaster assistance. Using the

Request, potential Applicants can provide informationabout their organizations, such as physical location,points of contact, and information regarding PrivateNonprofit status. FEMA and the State use theinformation submitted on the Request to determine if an Applicant is eligible forpublic assistance.

The Request, which includes instructions for completion, must be submitted tothe State Public Assistance Officer within 30 days of the date of declaration ordesignation of an area. The form may be submitted at the Applicants’ Briefing,by mail, by fax, or electronically. Once submitted, the Request becomes part ofthe Case Management File.

Potential Applicants may obtain a copy of the Request from the Stateemergency management organization, through FEMA’s Internet website, or atthe Applicants’ Briefing.

See Eligible Applicants, Private Nonprofit (PNP) Applicant, CaseManagement File, and Notice of Interest (NOI).

Reference: Public Assistance Guide, FEMA 322, pages 64-66

108

Roads

Roads (paved, gravel, and dirt) are eligible forpermanent repair or replacement under the PublicAssistance Program, unless they are Federal-Aid

Roads (see Federal-Aid Roads). Eligible work includesrepair to surfaces, bases, shoulders, ditches, culverts,low water crossings, and other features, such asguardrails. Damage to the road must be disaster-related

to be eligible for repair. In addition, repairs necessary as the result of normaldeterioration, such as “alligator cracking,” are not eligible because it is pre-disaster damage.

Landslides and washouts often affect roads.Earthwork in the vicinity of a road may be eligible, butonly if the work is necessary to ensure the structuralintegrity of the road (see Landslides).

Road or bridge closures resulting from a disaster mayincrease traffic loads on nearby roads. If divertedtraffic causes damage to a road, FEMA may pay torepair this damage if no alternative is available.

Restoration of a damaged road may include upgradesnecessary to meet current codes and standards, asdefined by the State or local department of highways(see Codes and Standards). Typical standards affectlane width, loading design, and construction materials.

References: Section 102(8)(B) of the Stafford Act44 CFR §206.221(h) and §206.226(a) and (b)Public Assistance Guide, FEMA 322, pages 53-55

109

Scope Of Work

Projects are defined by the specific damagesustained at a facility and a detailed description ofthe proposed repair. The components of the

proposed repair make up the Scope of Work. A goodscope of work contains three components:

The cause of damage

The dimensions and description ofthe damage

The work necessary to repair thedamage or replace the facility

The scope of work is the basis for the costestimate; therefore, it is important that thescope of work be concise yetcomprehensive enough to fully support what work is to be done and why it isbeing done. The scope of work is developed through coordination betweenFEMA field personnel, State representatives, and Applicants. For large projects,FEMA must review each scope of work to ensure that the project complies withall applicable Federal laws, regulations, and policies before funds can beprovided (see Project Approval). For small projects, a sample of the project isreviewed (see Validation). (See Large Projects and Small Projects.)

References: 44 CFR §206.202(d)Public Assistance Guide, FEMA 322, pages 71-73

110

SeismicSafety

Executive Order 12699 – Seismic Safety of Federaland Federally Assisted or Regulated New BuildingConstruction – requires that all eligible

construction of new buildings under the PublicAssistance Program use appropriate seismic designand construction standards and practices. This is trueregardless of the cause of the declared disaster or even

if the Applicant does not have applicable local or State seismic codes.

If a damaged building is eligible for replacement, the costs of meeting requiredand reasonable seismic codes are also eligible. However, for new constructionof an alternate or improved project, any additional costs to satisfy appropriateseismic requirements beyond those that would have been required for theoriginal approved project are not eligible, yet are required as a condition of thegrant.

References: Section 323 of the Stafford ActExecutive Order 12699, Seismic Safety of Federal and Federally Assisted orRegulated New Building Construction, dated January 5, 1990Seismic Safety – New Construction,FEMA Policy 9527.1, dated January 13, 2000Public Assistance Guide, FEMA 322, page 110

111

Sequence OfEvents

The following list outlines the general Sequence ofEvents during a disaster. This sequence may varybased on the circumstances of the disaster.

Disaster occurs

Local response – emergency operations centeractivation - declaration of state of emergency

Continue emergency work – maintain records(labor, equipment, materials, and contracts)

Compile initial estimated damage. Report toState emergency management agency

Evaluate needs and request State/Federalassistance

Federal/State survey of need – PreliminaryDamage Assessment

Governor’s request for Federal assistance

Presidential declaration

Designate Applicant’s agent

Attend Applicants’ Briefing and submit a Request for Public Assistance

Attend Kickoff Meeting with Public Assistance Coordinator (PAC) –discuss project formulation

Prepare Project Worksheets – work with the PAC

Address applicable Special Considerations (floodplain management,insurance, hazard mitigation and compliance with environmental andhistoric preservation laws)

Complete application for Federal funds

Maintain required documentation (labor, equipment, materials, andcontracts)

Receive payment of small projects - for Federal share and possibly Stateshare

Complete approved disaster work within time allowed

Request final inspections

Submit documents for final inspection, program review and close-out

Receive reimbursement – final payment on large projects

Keep all documentation for 3 years after Applicant final expenditure report

Reference: Public Assistance Guide, FEMA 322, Appendix A

112

ShelterWorkshops

Shelter Workshops are Private Nonprofit (PNP)organizations that create products utilizing theskills of disabled persons. As with other PNPs,

they establish their eligibility by providing a governmentservice and being available to the general public.

This definition does not apply to shelters established fordisaster victims. FEMA may provide funds forsuch a shelter if it is established and run by aState or local government, but only if volunteeragencies are unable to meet the need.

References: 44 CFR §206.221(e)(6)Public Assistance Guide, FEMA 322, page 14

113

Eligible Private Nonprofit (PNP) facilities that do notprovide critical services must apply to the SmallBusiness Administration (SBA) for permanent

work assistance before applying to FEMA. Suchservices primarily include educational facilities, certainnon-emergency medical facilities and othermiscellaneous governmental services. (Critical servicesgenerally include power, water, sewer and wastewater, communications,emergency medical care, fire protection and emergency services.) (see PrivateNonprofit (PNP) Facility and Private Nonprofit (PNP) Facility-CriticalServices) The SBA loan application process for these “non-critical” PNPfacilities will generate one of three outcomes:

1. If the PNP is declined for an SBA loan, then the PNP may apply to FEMAfor public assistance.

2. If the SBA loan fully covers eligible damages from the disaster event, thenno assistance from FEMA is available.

3. If the maximum loan for which the facility is eligible does not fully covereligible damages, then the PNP may apply to FEMA for public assistancefunds to cover the excess amount of damage.

FEMA will coordinate with SBA to ensure prompt processing of all PNP loanapplications, but the PNP organization is responsible for completing theapplication to SBA. PNPs that may be eligible for FEMA assistance (outcomes 1or 3) will be issued a determination letter from SBA. SBA will supply a copy ofits determination letter to FEMA, but the Applicant is also responsible for re-applying to FEMA for assistance, if necessary.

Non-critical PNP facilities requiring emergency work assistance and PNPfacilities providing critical services are not required to apply to SBA but rathermay apply directly to FEMA.

See Private Nonprofit (PNP) Facility and Private Nonprofit (PNP) Facility-Critical Services.

References: Section 406(a)(3) of the Stafford Act44 CFR §206.221(e)

Small BusinessAdministration(SBA)

114

Small Projects

Two different payment methods have beenestablished for Public Assistance Program grants.The difference between the methods is dependent

on whether a project is small or large. Thatdetermination is based on a cost threshold that changesannually. The threshold is updated at the beginning ofeach fiscal year and published in the Federal Register.

For the year ending September 30, 2001, the threshold is set at $50,600. If theestimated cost of a project is less than this threshold, the project is processedas a small project.

Small Projects are funded using an initial estimate of costs. The steps forprocessing a small project are described below.

1. An estimate is prepared either by FEMA or by the Applicant (seeValidation). FEMA approves funding using the estimate and obligates theFederal share of the funds to the State (see Payment of Claims).

2. The State provides funds to the Applicant as soon as possible after FEMAobligates the funds.

3. The funding level for small projects is fixed, regardless of the final costincurred by the Applicant (see Cost Overrun for exceptions).

4. FEMA does not perform a final inspection of completed small projects;however, the State must certify that the Applicant completed the work incompliance with all applicable laws, regulations, and policies. Therefore,the State may decide to review some, if not all, of an Applicant’s smallprojects.

The advantage of this process is that processing of the grant is expedited; fundsare available as soon as the Project Worksheet is approved rather than after theApplicant submits documentation of costs.

References: Section 422 of the Stafford Act44 CFR §206.203(c)(2) and §206.205(a)Public Assistance Guide, FEMA 322, pages 68, 80, 82-83 and 116

115

Snow RemovalAssistance

Snow Removal Assistance is eligible for Federalassistance provided that:

The snowfall is of record or near record

The response is beyond the State and localgovernment capabilities

The action is necessary to save lives, protectpublic health and safety, and protectimproved property

Other circumstances, such as heavy snowfallover an extended period of time, severewinds and extraordinary drifting,extraordinary ice formations, and thecumulative effect of snow on the ground maywarrant assistance even if the snow depthdoes not exceed record snowfall levels.

Snow removal assistance will be provided for a continuous 48-hour time periodto address the most critical emergency needs. The 48-hour period for snowremoval assistance may begin at a time other than when the storm actuallybegan. The Applicant will designate the beginning of the 48-hour period.

Emergency protective measures, as described in 44 CFR, Section 206.225 areeligible for assistance following a major disaster or emergency declaration. It isassumed that the most critical needs will be addressed during the 48-hourperiod. Therefore, all snow plowing and related work (salting and sanding) iseligible for reimbursement from FEMA during the approved time period. Theprovisions of 44 CFR, Section 206.228 (a)(4) apply.

References: 44 CFR §206.227Snow Assistance Policy, FEMA Policy 9523.1, dated December 28, 1999Public Assistance Guide, FEMA 322, pages 52-53

116

SpecialConsiderations

FEMA uses the term Special Considerations todescribe issues other than program eligibility thatcould affect the scope of work and funding for a

project. These issues include floodplain management,insurance, hazard mitigation measures, and compliancewith other Federal laws and regulations, such as thosepertaining to protection of the environment and historicpreservation.

To expedite the approval of grant funds, FEMA strives to identify and resolveSpecial Considerations issues as early in the recovery process as possible. Toaccomplish this objective:

Teams work to identify Special Considerations during the PreliminaryDamage Assessment (see Preliminary Damage Assessment (PDA))

FEMA meets with the State and other agencies that might be involved inSpecial Considerations to outline strategies for resolving SpecialConsiderations issues

The Public Assistance Coordinator (PAC; see PublicAssistance Coordinator (PAC)) works with theApplicant to identify SpecialConsiderations issues as early aspossible in the project formulationprocess

FEMA provides Specialists to reviewSpecial Considerations issues at theDisaster Field Office

The Applicant has a critical role in the identification and quick resolution ofSpecial Considerations issues. By being aware of the way in which these issuescan affect projects, the Applicant can assist FEMA by identifying the issues asearly as possible and providing the information necessary for review.

See Floodplain Management, Insurance, Flood Insurance, HazardMitigation, Section 406, National Environmental Policy Act (NEPA), andNational Historic Preservation Act (NHPA).

Reference: Public Assistance Guide, FEMA 322, pages 89-111

117

Stafford Act

The Stafford Act: The Robert T. Stafford DisasterRelief and Emergency Assistance Act, 42 U.S.C.§5121 et. seq. as amended, authorizes the

President (FEMA per Executive Order 12673) to providefinancial and other forms of assistance to State andlocal governments, certain Private Nonprofitorganizations, and individuals to support response,recovery, and mitigation efforts following Presidentiallydeclared major disasters and emergencies. The StaffordAct describes the declaration process, thetypes and extent of assistance that may beprovided, and fundamental eligibilityrequirements.

Reference: Public Assistance Guide, FEMA 322, pages 1, 7 and Appendix B

118

StateAdministrative

Plan

The State is required to develop a StateAdministrative Plan to administer thePublic Assistance (PA) Program. The

Plan should include the designation ofresponsibilities for State agencies andinclude staffing for the PA Program.

Reference: 44 CFR §13.11 and §206.207

The State Administrative Plan should also include procedures for:

Notifying potential Applicants

Conducting Applicants’ Briefings

Assisting FEMA in determining Applicant eligibility

Participating in the damage assessment and project applicationprocesses

Processing appeals

Compliance with 44 CFR Parts 13 and 206

Compliance with audit requirements

Processing advances of funds and reimbursement

Determining staffing and budget requirements

An approved State Administrative Plan must be on file with FEMA before grantswill be approved for any major disaster. The approved State Administrative Planshould be incorporated into the State’s emergency plan.

119

StateManagement ofSmall Disasters

The State Management of Small Disasters(SMSD) initiative allows a capable State tomanage the Public Assistance Program operation,

including project eligibility reviews, process control, andresource allocation on small disasters. The participatingState enters into an Operational Agreement with FEMA,which devolves many aspects of program management.FEMA retains obligation authority, ensures compliance with environmental andhistoric laws, participates in quality control reviews with the State, and providestechnical assistance as requested by the State.

Small disasters are disasters that warrant a major disaster declaration by thePresident, but are limited in scope and size as defined by the following:

Statewide infrastructure damage up to $2 per capita, or

About $15 million dollars in damages, or

Limited to debris removal and emergency protective measures, or

Within an individual State’s capability to manage.

For a State to be eligible to manage a disaster under this initiative, it must meetthe following criteria:

Recent disaster experience

Adequate State staff

SMSD Addendum to the State Administrative Plan for Public Assistance

Fiscal accounting system that can track specific projects, withstand audit,and be used to evaluate appeals

Established record of having met deadlines for grant managementactivities

120

State Role

FEMA and the State work as partners to deliver thePublic Assistance (PA) Program. The State Role isas follows:

Reference: 44 CFR §206.202(b)

Providing technical support and assistanceto Applicants

Ensuring that potential Applicants areeducated about the PA Program and areaware that the assistance is available

Assisting FEMA in the collection ofdamage information and the preparation ofcost estimates

Submitting applications to FEMA forapproval

Granting funds to Applicants

Administering the grants through projectmonitoring, inspection, and reconciliation

Submitting large project accounting andsmall project completion certification toFEMA

121

Subgrantee

The Subgrantee (also referred to as an Applicant) isa State agency or local government, American orNative Indian Tribe, Private Nonprofit organization,

or other legal entity to which public assistance funds areawarded. The subgrantee:

Is accountable to the grantee for the use of thefunds provided by FEMA

Should attend the Applicants’ Briefing to learn about the necessarypaperwork to apply for Federal assistance and documentation required forthe Project Worksheet process

Should submit a Request for Public Assistance at the Applicants’ Briefingor not later than 30 days after designation of the County

Is responsible for providing documentation andpersonnel to work with FEMA and the State inthe damage assessment and projectapplication processes

Is responsible for completing its recoveryactions

Must identify all damages to the State andFEMA

Reference: 44 CFR §13.3, §13.37, and §206.201(l)

122

TaxAssessments

Following disasters, State and local governmentsmay conduct Tax Assessments to reassess realproperty values within their jurisdictions. Although

property reassessments may be the legal responsibilityof the Applicant following a disaster, they are not eligiblefor reimbursement under the Stafford Act because thereassessments are neither essential to meeting an

immediate threat to life or improved property nor connected with the permanentrestoration of eligible facilities.

References: Sections 403 and 406 of the Stafford Act44 CFR §206.223Post-Disaster Property Tax Assessment,FEMA Policy 9525.1, dated November 30, 1998

123

TechnicalAssistanceContractors(TAC)

FEMA maintains nationwide, stand-by contracts witha group of engineering firms called TechnicalAssistance Contractors (TACs). The TACs

provide skills and services to meet Public AssistanceProgram needs that cannot be addressed using FEMAstaff. FEMA may request TAC assistance whenSpecialists are needed, such as in estimating thedamages to complex facilities. The TACs also providecertain non-engineering services, such as insuranceadjustment services and historical and environmentalreviews.

124

TemporaryEmployees

Temporary Employees are personnel hired by theGrantee or Applicant as a direct result of thedisaster to perform eligible work. An example of a

temporary employee would be a laborer hired toperform repairs to roads damaged during the disaster.

Regular and overtime labor costs are eligible forboth emergency and permanent work performed bytemporary employees when they are doing eligiblework.

References: Section 406(e)(5) of the Stafford ActPublic Assistance Guide, FEMA 322, page 35

125

Time Limits

FEMA has established Time Limits for requestingassistance and for completing work using PublicAssistance Program grants.

Requesting Assistance

An applicant must submit a Request for PublicAssistance within 30 days of the date that thearea was designated a disaster area

Project information must be submitted to FEMA within60 days of the Kickoff Meeting

FEMA will take action on granting funds for aspecific project within 45 days of receiving all of theinformation for that project.

A subgrantee may appeal FEMA’s decision tothe grantee within 60 days of being notified ofthat decision.

Completing Work

The time frames for completing eligible work are also measured from the dateof declaration of the disaster and vary depending on the type of work.

Time Extension

All time frames are set by regulation; however, if extenuating circumstances orunusual project conditions exist, a time extension may be requested through thegrantee. The grantee has the authority to extend the time frames for completionof debris removal and emergency work by 6 months and permanent work by 30months. For all other extensions, the grantee must request the extension fromFEMA.

References: 44 CFR §206.202, §206.204, and §206.206Public Assistance Guide, FEMA 322, pages 60, 66, 86 and 114-115

Months After Designation

6

6

18

Type of Work

Debris Clearance

Emergency Work

Permanent Work

126

Trees, Shrubs,And Other

Ground Cover

Trees, Shrubs, and Other Ground Cover are noteligible for replacement under the PublicAssistance Program. This policy applies to trees

and shrubs in recreational areas, such as parks, as wellas trees and shrubs associated with public facilities,such as those located in the median strips alongroadways and as landscaping for public buildings. Grass

and sod are eligible only when necessary to stabilize slopes and minimizesediment runoff.

This policy does not affect removal of tree debrisor the removal of trees as emergency protectivemeasures. FEMA will reimburse for the removal oftree debris and the removal of trees as emergencyprotective measures if the removal does one of thefollowing:

Eliminates an immediate threat to lives,public health and safety;

Eliminates the immediate threats ofsignificant damage to improved public orprivate property; or

Ensures the economic recovery of theaffected community to the benefit of thecommunity at large.

However, FEMA will not reimburse for the replacement of these trees.

References: Trees, Shrubs, and Other Plantings Associated with Facilities,FEMA Policy 9524.5, dated September 24, 1998Public Assistance Guide, FEMA 322, page 60

127

Unstable Soil

This entry relates to the choice of AlternateProjects. Unstable soils are soils that are nolonger capable of supporting a structure for its

intended purpose. When such conditions occur beneathor adjacent to improved property, the reasonableness ofrepairing or reconstructing the facility in its originallocation must be evaluated. A Geotechnical Study maybe required to assess the condition of the soils to determine if they are capableof supporting the facility and to determine the level of effort necessary torestore the facility at this location (see Landslides and Geotechnical Study).

If the damaged facility is in an area of unstable soil and the Applicant hasdetermined it is not in the best interest of the public welfare to restore the facilityto its pre-disaster design, the Applicant may request an Alternate Project (seeAlternate Projects). For sites with unstable soils, the amount of publicassistance funding will be reduced to 90 percent of the Federal share of theFederal estimate for the repair of the damaged facility if the facility is publiclyowned. For sites with stable soils and for facilities not publicly owned, funding isreduced to 75 percent (see Alternate Projects).

Reference: Section 406(c) of the Stafford Act

128

Utilities

Typical Utilities include:

Water treatment plants and delivery systems

Power generation and distribution facilities,including generators, substations, and powerlines

Sewage collection systems and treatment plants

Telecommunications

The owner of a facility is responsible for determining the extent of damageincurred. FEMA does not provide funds for random surveys to look for damage,such as TV inspection of sewer lines. If disaster-related damage is evident,however, FEMA may pay for inspections to determine the extent of the damageand method of repair.

While FEMA will pay for restoration of damagedutilities, FEMA does not provide funds forincreased operating expenses resulting from adisaster. Similarly, FEMA cannot provide fundsfor revenue lost if a utility is shut down. However,the cost of establishing temporary, emergencyservices in the event of a utility shut-down maybe eligible.

References: 44 CFR §206.221(h) and §206.226Public Assistance Guide, FEMA 322, pages 57-58

129

Validation

FEMA must ensure that public assistance grantscomply with all applicable laws, regulations, andpolicies. When an Applicant prepares and submits

small projects (see Small Projects) for approval, FEMAconducts a Validation process to ensure compliance.

During validation, a Specialist from FEMA or the Statereviews a portion of the Applicant’s small projects toconfirm that the Applicant has developed accurate scopes of work and costestimates and that the Applicant has sufficient documentation to support theproject eligibility and cost. Normally, the review is limited to 20 percent of theApplicant’s small projects; however, if problems are found, the sample size maybe expanded.

At the beginning of the recovery process, the Applicant’s Public AssistanceCoordinator (PAC; see Public Assistance Coordinator (PAC)) is responsiblefor describing the validation process to the Applicant and ensuring that theApplicant is aware of documentation requirements. Validation occurs after theApplicant has developed small projects for all disaster-related work. The PAC isresponsible for working with the Applicant to schedule validation. Validationshould be completed within 15 days of receipt of the Applicant’s small projects.

Reference: Public Assistance Guide, FEMA 322, pages 80-82

130

Water ControlFacilities

Water Control Facilities are those facilities builtfor the following purposes:

Channel alignment

Recreation

Navigation

Land reclamation

Fish and wildlife habitat

Interior drainage

Irrigation

Erosion prevention

Flood control

Public assistance eligibility is limited for facilitiesbuilt specifically for flood control (see FloodControl Works). Those built for other purposesare evaluated as any other eligible facility.

References: Section 102(8)(a) of the Stafford Act44 CFR §206.221(h)Policy for Rehabilitation Assistance for Levees and Other Flood Control Works,FEMA Policy 9524.3, dated August 17, 1999Public Assistance Guide, FEMA 322, pages 55-56

131

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44 CFR ........................................................................1

50% Rule (see Repair or Replacement)

Administrative Allowance, Grantee ...............................2

Administrative Allowance, Subgrantee ..........................3

Agricultural Land (see Improved Property)

Alternate Projects ........................................................4

Alternate Use Facility (see Eligible Facility)

Americans with Disabilities Act (ADA) ...........................5

Appeals........................................................................6

Applicants’ Briefing .......................................................7

Architecture and Engineering Studies (see Engineeringand Design Services)

Art ...............................................................................8

Audits ...........................................................................9

Beaches .................................................................... 10

Bridges ...................................................................... 11

Building Inspection ..................................................... 12

Buildings .................................................................... 13

Case Management File .............................................. 14

Categories of Work .................................................... 15

Coastal Barrier Resources Act (CBRA) ...................... 16

Codes and Standards ................................................ 17

Community Centers ................................................... 18

Community Disaster Loans ........................................ 19

Contracts ................................................................... 20

Cost Codes ................................................................ 21

Index

140

Cost Estimate ............................................................ 22

Cost Estimating Format (CEF) ................................... 23

Cost Overrun ............................................................. 24

Cost Share ................................................................. 25

Critical Services (see Private Nonprofit (PNP) Facility -Critical Services)

Culverts (see Roads)

Damage Survey Report (DSR) ................................... 26

Davis-Bacon Act ........................................................ 27

Deadlines (see Time Limits)

Debris Removal ......................................................... 28

Debris Salvage........................................................... 29

Declarations ............................................................... 30

Demolition .................................................................. 31

Designated Disaster Area .......................................... 32

Direct Costs (see Eligible Costs)

Donated Equipment (see Donated Resources)

Donated Resources ................................................... 33

Duplication of Benefits ............................................... 34

Educational Facilities .................................................. 35

Eligibility ..................................................................... 36

Eligible Applicants ...................................................... 37

Eligible Costs ............................................................. 38

Eligible Facility ............................................................ 39

Eligible Work .............................................................. 40

EMAC ........................................................................ 41

Emergency Protective Measures ................................ 42

Emergency Work (see Debris Removal and EmergencyProtective Measures)

Endangered Species Act (ESA) ................................. 43

Engineering and Design Services .............................. 44

Index

141

Environmental Review (see National Environmental PolicyAct NEPA) and Endangered Species Act (ESA))

Equipment ................................................................. 45

Equipment Rates ....................................................... 46

Erosion ...................................................................... 47

Facility (see Eligible Facility)

Facilities under Construction ...................................... 48

Federal-Aid Roads ..................................................... 49

FEMA-State Agreement ............................................. 50

Fire Management Assistance ..................................... 51

Flood Control Works .................................................. 52

Flood Insurance ......................................................... 53

Floodplain Management ............................................. 54

Force Account (see Labor Costs and Equipment Rates)

Fringe Benefits ........................................................... 55

Geotechnical Study .................................................... 56

Grant (see Payment of Claims)

Grant Closure ............................................................ 57

Grant Processing (see Payment of Claims)

Grant Management PW ............................................. 58

Grantee ..................................................................... 59

Grass (see Trees, Shrubs and other Ground Cover)

Hazard Mitigation, Section 404................................... 60

Hazard Mitigation, Section 406................................... 61

Historic Preservation (see National Historic PreservationAct (NHPA))

Homeless Shelters ..................................................... 62

Homeowners’ Associations ......................................... 63

Immediate Needs Funding (INF) ................................ 64

Immediate Threat ....................................................... 65

Improved Projects ...................................................... 66

Improved Property ..................................................... 67

Index

142

Inactive Facilities ........................................................ 68

Incident Period ........................................................... 69

Indian Tribal Governments .......................................... 70

Insurance ................................................................... 71

Irrigation Facilities ...................................................... 72

Labor Costs ............................................................... 73

Landslides ................................................................. 74

Large Projects ............................................................ 75

Legal Responsibility ................................................... 76

Levees (see Flood Control Works)

Libraries ..................................................................... 77

Materials .................................................................... 78

Mitigation (see Hazard Mitigation, Section 406)

Museums .................................................................. 79

Mutual Aid Agreement ................................................ 80

National Environmental Policy Act (NEPA) .................. 81

National Historic Preservation Act (NHPA) .................. 82

Negligence ................................................................. 83

Notice of Interest (NOI) .............................................. 84

Other Federal Agencies ............................................. 85

Overtime (see Labor Costs)

Parks and Recreational Areas .................................... 86

Payment of Claims ..................................................... 87

Permanent Work ........................................................ 88

Pre-Disaster Capacity (see Permanent Work)

Pre-Disaster Design ................................................... 89

Preliminary Damage Assessment (PDA) .................... 90

Private Nonprofit (PNP) Applicant .............................. 91

Private Nonprofit (PNP) Facility .................................. 92

Private Nonprofit (PNP) Facility – Critical Services ..... 93

Private Property ......................................................... 94

Index

143

Index

Programmatic Agreement (see National HistoricPreservation Act (NHPA))

Programmatic Closure ............................................... 95

Project ....................................................................... 96

Project Approval ......................................................... 97

Project Worksheet (PW) ............................................. 98

Public Assistance Coordinator (PAC) .......................... 99

Public Assistance Officer (PAO)................................ 100

Reasonable Cost ..................................................... 101

Reassigned Employee ............................................. 102

Rehabilitation Facility ................................................ 103

Relocation, Permanent ............................................. 104

Relocation, Temporary ............................................. 105

Repair or Replacement ............................................ 106

Request for Public Assistance (Request) .................. 107

Roads ...................................................................... 108

Salvage (see Debris Salvage and Equipment)

Sanitation Systems (see Utilities)

Schools (see Educational Facilities)

Scope of Work ......................................................... 109

Seismic Safety ......................................................... 110

Senior Citizen Centers (see Eligible Applicants andPrivate Nonprofit (PNP) Facility)

Sequence of Events ................................................. 111

Shelter Workshops ................................................... 112

Small Business Administration (SBA) ....................... 113

Small Projects .......................................................... 114

Snow Removal Assistance ....................................... 115

Special Considerations ............................................. 116

Stafford Act .............................................................. 117

State Administrative Plan ......................................... 118

State Management of Small Disasters ..................... 119

144

State Role ................................................................ 120

Stream Clearance (see Debris Removal)

Subgrantee .............................................................. 121

Tax Assessments ..................................................... 122

Technical Assistance Contractors (TAC) ................... 123

Temporary Employee ............................................... 124

Time Extension (see Time Limits)

Time Limits .............................................................. 125

Trees, Shrubs, and Other Ground Cover .................. 126

Unit Prices (see Cost Codes)

Unstable Soil ............................................................ 127

Utilities ..................................................................... 128

Validation ................................................................. 129

Volunteer Labor (see Donated Resources)

Water Control Facilities ............................................. 130

Zoo (see Eligible Applicants and Private Nonprofit (PNP)Facility)

Index